Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies

Forms and Documents

Document Name	Status
Form SEC 2569 Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies Form and Instruction	Modified
3235-0570.pdf Supplementary Document	2022-03-17
30 Day 3235-0570.pdf Supplementary Document	2022-03-17
Form N-CSR (2022) Supporting Statement.pdf Supporting Statement A	2021-12-15

IC Document Collections

IC ID	Document Title	Status
35414	Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0570	ICR Reference No: 202112-3235-009
Status: Received in OIRA	Previous ICR Reference No: 202005-3235-023
Agency/Subagency: SEC	Agency Tracking No: IM-270-512
Title: Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/09/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	29,308	0
Time Burden (Hours)	227,137	0
Cost Burden (Dollars)	5,949,524	0

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Abstract: Form N-CSR is a combined reporting form used by management investment companies to file certified shareholder reports under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) ("Investment Company Act") and under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (Securities Exchange Act"). Form N-CSR is to be used for reports under section 30(b)(2) of the Investment Company Act and section 13(a) or 15(d) of the Securities Exchange Act, filed pursuant to rule 30b2-1(a) under the Investment Company Act (17 CFR 270.30b2-1(a)). Form N-CSR reports are to be filed with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under rule 30e-1 under the Investment Company Act (17 CFR 270.30e-1). The information provided on Form N-CSR may be used by the Commission in its regulatory disclosure review, inspection, and policymaking roles. The information filed with the Commission also permits the verification of compliance with securities law requirements and assures the public availability and dissemination of the information.

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Authorizing Statute(s): US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 80a-29 Name of Law: Investment Company Act of 1940
   US Code: 15 USC 78m Name of Law: Securities Exchange Act of 1934
  

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:
	87 FR 2197	01/13/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 15282	03/17/2022
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
Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies	SEC 2569	FORM N-CSR

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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	29,308	0	0	0	22,410	6,898
Annual Time Burden (Hours)	227,137	0	0	0	45,970	181,167
Annual Cost Burden (Dollars)	5,949,524	0	0	0	749,940	5,199,584

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: The estimated annual burden hours for funds with Form N-CSR has increased from 181,167 to 227,137 hours (an increase of 45,970 hours). This is due to increases in the number of affected entities, the estimated hourly burden and external cost to prepare and make each filing. The estimated annual cost burden associated with Form N CSR has increased from $5,199,584 to $5,949,524 (an increase of $749,940). The increase in the cost burden reflects the staff’s determination to revise the manner in which it calculates certain cost estimates.

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Annual Cost to Federal Government:

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: 03/17/2022

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