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Submission for OMB Review; Comment Request


Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, 450 Fifth Street, N.W., Washington, D.C. 20549.

Extension: Rule 30b2-1, SEC File No. 270-213, OMB Control No. 3235-0218. Back to Top

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (“Act”) [44 U.S.C. 3501 et seq.], the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for extension of the previously approved collection of information discussed below.

Rule 30b2-1 Under the Investment Company Act of 1940, Filing of Copies of Reports to Stockholders Back to Top

Rule 30b2-1 under the Investment Company Act of 1940 [17 CFR 270.30b2-1] requires the filing of four copies of every periodic or interim report transmitted by or on behalf of any registered investment company to its stockholders. [1] This requirement ensures that the Commission has information in its files to perform its regulatory functions and to apprise investors of the operational and financial condition of registered investment companies. [2]

It is estimated that approximately 3,490 registered management investment companies are required to send reports to stockholders at least twice annually. The annual burden of filing the reports is estimated to be negligible.

The burden estimate for Rule 30b2-1 is made solely for the purposes of the Act and is not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms.

The collection of information under Rule 30b2-1 is mandatory. The information provided by Rule 30b2-1 is not kept confidential. The Commission may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

General comments regarding the above information should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Washington, D.C. 20503; and (ii) Michael E. Bartell, Associate Executive Director, Office of Information Technology, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549. Comments must be submitted to OMB within 30 days of this notice.

Dated: May 1, 2000.

Jonathan G. Katz,


[FR Doc. 00-11403 Filed 5-5-00; 8:45 am]


Footnotes Back to Top

1. Most filings are made via the Commission's electronic filing system; therefore, paper filings under Rule 30b2-1 occur only in exceptional circumstances. Electronic filing eliminates the need for multiple copies of filings.

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2. Annual and periodic reports to the Commission become part of its public files and, therefore, are available for use by prospective investors and stockholders.

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