[Federal Register Volume 91, Number 122 (Friday, June 26, 2026)]
[Notices]
[Pages 38741-38742]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2026-12870]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0578]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Form N-Q
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) (``Paperwork Reduction Act''), the
Securities and Exchange Commission (the ``Commission'') has submitted
to the Office of Management and Budget a request for extension of the
previously approved collection of information discussed below.
The Commission is seeking to reinstate the Paperwork Reduction Act
(``PRA'') information request for Form N-Q (17 CFR 249.332 and 274.130)
under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.)
(``Investment Company Act'') and the Securities Exchange Act of 1934
(15 U.S.C. 78a et seq.) (``Exchange Act'') pursuant to OMB control
number 3235-0578 for the purpose of discontinuing this information
collection. The last Commission request for OMB approval under this
control number was submitted in November 2018. Form N-Q was a form used
by registered management investment companies, other than small
business investment companies registered on Form N-5 (``SBICs''), under
section 30(b) of the Investment Company Act and Sections 13(b) or 15(d)
of the Exchange Act, to file reports at the end of the first and third
quarters each fiscal year of portfolio holdings pursuant to rule 30b1-5
under the Investment Company Act (17 CFR 270.30b1-5). Effective August
1, 2019, the Commission rescinded Form N-Q and rescinded and reserved
rule 30b1-5.\1\
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\1\ See Investment Company Reporting Modernization, Investment
Company Act Release No. 32314 (Oct. 13, 2016) [81 FR 81870 (Nov. 18,
2016)] (``Reporting Modernization Release'').
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As detailed in the Reporting Modernization Release, the Commission
rescinded Form N-Q because the portfolio information contained in
reports on Form N-Q is also included in a different form, Form N-PORT.
As a result, Form N-PORT rendered reports on Form N-Q unnecessarily
duplicative. Form N-PORT is a form used by registered management
investment companies, other than money market funds and SBICs, under
section 30(b) of the Investment Company Act and sections 13(a) or 15(d)
of the Exchange Act to file monthly reports of portfolio holdings
pursuant to rule 30b1-9 of the Investment Company Act (17 CFR 270.30b1-
9). Specifically, rule 30b1-9 requires a registered management
investment company or exchange traded fund organized as a unit
investment
[[Page 38742]]
trust, other than registered open-end management investment company
that is regulated as money market fund or a SBIC to file a report of
portfolio holdings on Form N-PORT, current as of the last business day,
or last calendar day, of the month. The burden associated with the
information request outlined within rule 30b1-9 is contained within the
information request for Form N-PORT under OMB control number 3235-0730.
Thus, there has been no lapse in reporting the burden associated with
the rescinded and reserved rule 30b1-5 and rescinded Form N-Q. Since
the burden is being reported under an alternative information
collection request (``ICR''), the Commission is seeking to reinstate
the Form N-Q ICR under control number 3235-0578 to have it properly
discontinued as the regulation that required the Form N-Q ICR has
changed by the Commission's rescinding Form N-Q and related rule 30b1-5
under the Investment Company Act.
An agency 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.
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the SEC, including whether the information will have
practical utility; (b) the accuracy of the SEC's estimate of the burden
imposed by the proposed collection of information, including the
validity of the methodology and the assumptions used; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated,
electronic collection techniques or other forms of information
technology.
The public may view and comment on this information collection
request at: https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202604-3235-010 or email comment to
[email protected] within 30 days of the day
after publication of this notice, by July 27, 2026.
Dated: June 23, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-12870 Filed 6-25-26; 8:45 am]
BILLING CODE 8011-01-P