Investment Company Interactive Data

Forms and Documents

Document Name	Status
Interactive Data Supporting Statement (Cyber).pdf Supporting Statement A	2022-05-23

IC Document Collections

IC ID	Document Title	Status
185342	Registered Investment Company Interactive Data	Modified

ICR Details

OMB Control No: 3235-0642	ICR Reference No: 202205-3235-038
Status: Received in OIRA	Previous ICR Reference No: 202202-3235-031
Agency/Subagency: SEC	Agency Tracking No: IM-270-580
Title: Investment Company Interactive Data
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/23/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2025
Responses	14,702	19,817
Time Burden (Hours)	271,578	252,684
Cost Burden (Dollars)	17,127,750	15,449,450

---

Abstract: Certain registered investment companies and business development companies ("BDCs") are required to submit to the Commission in Inline XBRL format certain information that is disclosed in their registration statements, post-effective amendments thereto, prospectuses filed pursuant to Rule 424(b) and Rule 497(c) or (e) under the Securities Act, and Exchange Act reports that are incorporated by reference into a registration statement, and, for BDCs, their financial statements, pursuant to specified form and rule requirements . On October 13, 2021, the Commission adopted rules modifying most fee-bearing forms, schedules, statements, and related rules to require all fee calculation disclosure information in a filing fee exhibit that will be structured in Inline XBRL. In particular, amended Forms N‑2 and N-14 and new Rule 408 of Regulation S‑T will require (non-interval) registered closed-end investment companies and BDCs to tag their filing fee exhibits in Inline XBRL.

---

Authorizing Statute(s): US Code: 15 USC 80a-1 et seq. Name of Law: Investment Company Act of 1940
   US Code: 15 USC 77a et seq Name of Law: Securities Act of 1933
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AN08	Proposed rulemaking	87 FR 13524	03/09/2022

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Registered Investment Company Interactive Data

---

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	14,702	19,817	0	-5,115	0	0
Annual Time Burden (Hours)	271,578	252,684	0	18,894	0	0
Annual Cost Burden (Dollars)	17,127,750	15,449,450	0	1,678,300	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The estimated annual burden hours associated with the Investment Company Interactive Data collection of information has increased from 252,684 hours to 271,578 hours (an increase of 18,894 hours). In addition, the external cost burden associated with the Investment Company Interactive Data collection of information has increased from $15,449,450 to $17,127,750 (an increase of $1,678,300). The changes in annual burden hours and external cost burden are due to our proposed amendments to investment company registration statement forms requiring a description of any significant fund cybersecurity incident that has occurred in the fund’s last two fiscal years.

---

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

---

Common Form ICR:  No

---

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: 05/23/2022

---