Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940:Offersof Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval

Forms and Documents

Document Name	Status
3235-0272 30 Day Notice.pdf Supplementary Document	2021-03-19
3235-0272 60 day notice.pdf Supplementary Document	2021-03-19
Rule 11a-2 Supporting Statement.pdf Supporting Statement A	2020-12-18

IC Document Collections

IC ID	Document Title	Status
34724	Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940: Offers of Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval.	Modified

ICR Details

OMB Control No: 3235-0272	ICR Reference No: 202012-3235-009
Status: Received in OIRA	Previous ICR Reference No: 201801-3235-005
Agency/Subagency: SEC	Agency Tracking No: IM-270-267
Title: Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940:Offersof Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/19/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2021
Responses	676	673
Time Burden (Hours)	676	1
Cost Burden (Dollars)	0	0

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Abstract: Rule 11a-2 (CFR 270.11a-2) permits registered insurance company separate accounts to make offers to exchange their securities for other investment company securities without obtaining prior Commission approval

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Authorizing Statute(s): US Code: 15 USC 80a-1 et. seq. Name of Law: Investment Company Act 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 85752	12/29/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 14493	03/16/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940: Offers of Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval.

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	676	673	0	0	3	0
Annual Time Burden (Hours)	676	1	0	0	675	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There are currently 676 registrants governed by Rule 11a-2, which represents an increase of 3 over the prior 673 registrants. The cost burden has not changed.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/19/2021

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