Federal Register #OMB Control No. 3235-0639

SEC Requests Public Comment on Extension of Information Collection Under Rule 12d1-4

The Securities and Exchange Commission (SEC) is seeking public comment on its proposal to extend the information collection requirements under Rule 12d1-4. - Government Buyer: - Securities and Exchange Commission (SEC) - Purpose: - Extension of information collection related to Rule 12d1-4 - Rule 12d1-4 Overview: - Allows certain registered funds and business development companies (BDCs) to acquire shares of other funds beyond statutory limits - Requires maintenance of compliance records for at least five years - First two years must be kept in an easily accessible location - No OEMs or vendors are mentioned - No products or services are being procured - Unique Requirements: - Regulatory compliance and recordkeeping for funds and BDCs - Public comment requested on the extension of information collection - No bids, proposals, or purchase quantities involved

Description

The Securities and Exchange Commission (SEC) is proposing to extend the collection of information under Rule 12d1-4. This rule permits certain registered funds and business development companies to acquire shares of other funds in excess of statutory limits without obtaining an exemptive order, subject to recordkeeping requirements. The SEC is soliciting public comments on this proposed extension as part of its regulatory activities. The collection involves maintaining records documenting compliance with the rule for at least five years, with the first two years in an easily accessible place.

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