Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities

Forms and Documents

Document Name	Status
Form SEC0977 (310) Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities Form and Instruction	Modified
Form N-8B-2 Supporting Statement_Adoption.pdf Supporting Statement A	2023-10-05

IC Document Collections

IC ID	Document Title	Status
34532	Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0186	ICR Reference No: 202309-3235-016
Status: Received in OIRA	Previous ICR Reference No: 202006-3235-011
Agency/Subagency: SEC	Agency Tracking No: IM-270-186
Title: Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/31/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2024
Responses	1	1
Time Burden (Hours)	40	28
Cost Burden (Dollars)	11,430	10,300

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Abstract: Form N-8B-2 is the registration statement form used by unit investment trusts currently issuing securities to register under the Investment Company Act of 1940.

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Authorizing Statute(s): US Code: 15 USC 80a-8(b) Name of Law: Section 8(b) of the Investment Company Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM72	Final or interim final rulemaking	88 FR 73755	10/27/2023

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Federal Register Notices & Comments

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-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities	SEC0977 (310)	Form N-8B-2

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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	1	1	0	0	0	0
Annual Time Burden (Hours)	40	28	0	12	0	0
Annual Cost Burden (Dollars)	11,430	10,300	0	1,130	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 hourly burden associated with Form N-8B-2 has increased from 28 hours to 40 hours (an increase of 12 hours). Thus, the estimated hours per response have increased from 28 hours to 40 hours. The estimated cost burden associated with Form N-8B-2 has increased from $10,300 to $11,430 (an increase of $1,130). This increase is due to the new requirement for each fund that is required to adopt and implement an 80% investment policy to include disclosure in its prospectus that defines the terms used in its name, including the specific criteria the fund uses to select the investments that the term describes, if any. These changes in burden also reflect the Commission’s revision and update of burden estimates for all information collections under this OMB control number (whether or not associated with rulemaking changes), and the Commission requested public comment on all information collection burden estimates for this OMB control number.

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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.     Yes

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: 10/31/2023

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