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Proposed Collection; Comment Request

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Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549.


Rule 30b2-1; SEC File No. 270-213; OMB Control No. 3235-0220.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 [44 U.S.C. 3501 et seq.], the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget (“OMB”) for extension and approval.

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]

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Registered management investment companies are required to send reports to stockholders at least twice annually. In addition, under the recently adopted amendments to rule 30b2-1, each registered investment company is required to file with the Commission new form N-CSR, certifying the financial statements.[3] The annual burden of filing the reports is included in the burden estimate for Form N-CSR; however, we are requesting one burden hour remain in inventory for administrative purposes.

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.

Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency's estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication.

Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 100 F Street, NE., Washington, DC, 20549.

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Dated: January 26, 2006.

Nancy M. Morris,


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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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3.  See Release No. 34-47262, IC-25914, Jan. 27, 2003 (68 FR 5384 [Feb. 3, 2003]). (Amending rule 30b2-1(a) under the Investment Company Act; adopting Form N-CSR). In addition, the Commission amended new rule 30a-2 to require both Forms N-CSR and N-SAR to include the certification required by section 302 of the Sarbanes-Oxley Act. No certified shareholder report on Form N-CSR is required with respect to a report to shareholders that is not required under rule 30e-1 under the Investment Company Act [17 CFR 270.30e-1], e.g., voluntary quarterly reports. These reports to shareholders continue to be filed with the Commission as they were prior to the 2003 amendments. Rule 30b2-1(b) [17 CFR 270.30b2-1(b)].

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[FR Doc. E6-1785 Filed 2-8-06; 8:45 am]