[Federal Register Volume 65, Number 42 (Thursday, March 2, 2000)]
[Notices]
[Page 11350]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-4980]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; 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-
0220]

    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'') 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 for extension and approval.

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

    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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    \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.
    \1\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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    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.
    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 Michael E. Bartell, 
Associate Executive Director, Office of Information Technology, 
Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, 
D.C., 20549.

    Dated: February 23, 2000.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 00-4980 Filed 3-1-00; 8:45 am]
BILLING CODE 8010-01-M