Federal Register :: Submission for OMB Review; Comment Request: Extension: Rule 12d3-1

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Use the PDF linked in the document sidebar for the official electronic format.</p></div></div></div></div><div class="content-block "> <div id="fulltext_content_area" class="doc-content-area" data-short-url="https://www.federalregister.gov/d/2022-16847"> <div class="citation-target-icon cj-fancy-tooltip" data-tooltip="Click to copy a short url for this paragraph" data-short-url="https://www.federalregister.gov/d/2022-16847"> <span class="icon-fr2 icon-fr2-bookmark "></span> </div> <div class="citation-target-background"></div> <div class="preamble"> <div class="document-headings"><div class="fr-box fr-box-published-alt no-footer"> <div class="fr-seal-block fr-seal-block-header with-hover"><div class="fr-seal-content"> <span class="h6">Document Headings</span><div class="fr-seal-meta"><div class="fr-seal-desc"> <p> Document headings vary by document type but may contain the following: </p> <ol class="bullets"> <li> the agency or agencies that issued and signed a document </li> <li> the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to </li> <li> the agency docket number / agency internal file number </li> <li> the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions </li> </ol> <p> See the <a href="https://www.archives.gov/files/federal-register/write/handbook/ddh.pdf#page=9"> Document Drafting Handbook </a> for more details. </p> </div></div> </div></div> <div class="content-block "> <h6 class="agency">Securities and Exchange Commission</h6> <ol><li>[SEC File No. 270-504, OMB Control No. 3235-0561]</li></ol> </div> </div></div> <p class="flush-paragraph flush-paragraph-1" id="p-1" data-page="48050"> <em>Upon Written Request, Copies Available From:</em> Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 </p> <p id="p-2" data-page="48050"> Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (<a href="https://www.govinfo.gov/link/uscode/44/3501" class="usc external" target="_blank" rel="noopener noreferrer">44 U.S.C. 3501</a> <em>et seq.</em>), the Securities and Exchange Commission (the “Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for extension of the previously approved collection of information discussed below. </p> <p id="p-3" data-page="48050"> Rule 12d3-1 (<a href="https://www.ecfr.gov/current/title-17/section-270.12d3-1" class="cfr external" target="_blank" rel="noopener noreferrer">17 CFR 270.12d3-1</a>) under the Investment Company Act of 1940 (<a href="https://www.govinfo.gov/link/uscode/15/80a-1" class="usc external" target="_blank" rel="noopener noreferrer">15 U.S.C. 80a-1</a> <em>et seq.</em>) (“Investment Company Act”) permits a fund to invest up to five percent of its assets in securities of an issuer deriving more than fifteen percent of its gross revenues from securities-related businesses (subject to certain limitations), notwithstanding the general prohibition in Section 12(d)(3) of the Investment Company Act of a registered investment company (“fund”) and companies controlled by the fund purchasing securities issued by a registered investment adviser, broker, dealer, or underwriter (“securities-related businesses”). </p> <p id="p-4" data-page="48050"> A fund may, however, rely on an exemption in rule 12d3-1 to acquire securities issued by its subadvisers in circumstances in which the subadviser would have little ability to take advantage of the fund, because it is not in a position to direct the fund's securities purchases. This exemption in rule 12d3-1 is available if: (i) the subadviser is not, and is not an affiliated person of, an investment adviser that provides advice with respect to the portion of the fund that is acquiring the securities; and (ii) the advisory contracts of the subadviser, and any subadviser that is advising the purchasing portion of the fund, prohibit them from consulting with each other concerning securities transactions of the fund, and limit their responsibility in providing advice to providing advice with respect to discrete portions of the fund's portfolio.<sup>[<a class="footnote-reference" href="#footnote-1-p48050" id="citation-1-p48050">1</a>] </sup> </p> <p id="p-6" data-page="48050">Based on an analysis of fund filings, Commission staff estimates that approximately 285 funds enter into such new subadvisory agreements each year, and that it will require approximately 3 attorney hours to draft and execute additional clauses in new subadvisory contracts in order for funds and subadvisers to be able to rely on the exemptions in rule 12d3-1. Because these additional clauses are identical to the clauses that a fund would need to insert in their subadvisory contracts to rely on rules 10f-3 (<a href="https://www.ecfr.gov/current/title-17/section-270.10f-3" class="cfr external" target="_blank" rel="noopener noreferrer">17 CFR 270.10f-3</a>), 17a-10 (<a href="https://www.ecfr.gov/current/title-17/section-270.17a-10" class="cfr external" target="_blank" rel="noopener noreferrer">17 CFR 270.17a-10</a>), and 17e-1 (<a href="https://www.ecfr.gov/current/title-17/section-270.17e-1" class="cfr external" target="_blank" rel="noopener noreferrer">17 CFR 270.17e-1</a>), and because we believe that funds that use one such rule generally use all of these rules, we apportion this 3 hour time burden equally to all four rules. Therefore, we estimate that the burden allocated to rule 12d3-1 for this contract change would be 0.75 hours. Assuming that all 285 funds that enter into new subadvisory contracts each year make the modification to their contract required by the rule, we estimate that the rule's contract modification requirement will result in 214 burden hours annually, with an associated time cost of approximately $90,950.</p> <p id="p-7" data-page="48050">The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act. The estimate is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules. Complying with this collection of information requirement is necessary to obtain the benefit of relying on rule 12d3-1. Responses will not be kept confidential. 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 control number.</p> <p id="p-8" data-page="48050"> The public may view background documentation for this information collection at the following website: <em><a href="http://www.reginfo.gov" class="external" target="_blank" rel="noopener noreferrer">www.reginfo.gov</a>.</em> Find this particular information collection by selecting “Currently under 30-day Review—Open for Public Comments” or by using the search function. Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice by September 6, 2022 to (i) <em><a href="mailto:MBX.OMB.OIRA.SEC_desk_officer@omb.eop.gov" class="email">MBX.OMB.OIRA.SEC_desk_officer@omb.eop.gov</a></em> and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: <em><a href="mailto:PRA_Mailbox@sec.gov" class="email">PRA_Mailbox@sec.gov</a>.</em></p> <div class="signature"> <p class="signature-date">Dated: August 1, 2022.</p> <p class="signature-name">J. Matthew DeLesDernier,</p> <p class="signature-title">Deputy Secretary.</p> </div> </div> <h1 id="footnotes">Footnotes</h1><div class="footnotes"><div class="footnote" id="footnote-1-p48050"> <p id="p-5" data-page="48050">1.   <em>See</em><a href="https://www.ecfr.gov/current/title-17/section-270.12d3-1#p-270.12d3-1(c)(3)" class="cfr external" target="_blank" rel="noopener noreferrer">17 CFR 270.270.12d3-1(c)(3)</a>. </p> <a class="back" href="#citation-1-p48050"> Back to Citation </a> </div></div><div class="end-matter"> <p class="frdoc">[<a href="/d/2022-16847">FR Doc. 2022-16847</a> Filed 8-4-22; 8:45 am]</p> <p class="billing-code">BILLING CODE 8011-01-P</p> </div> </div> </div><div class="fr-seal-block fr-seal-block-footer"><span class="h6">Published Document: 2022-16847 (87 FR 48050)</span></div></div> </div> </div> </div> <div class="clearfix" style="height: 100px;"></div> </div> </div>  </div>  </div> </main> <div class="site-footer" id="footer"> <div class="col-xs-3 col-md-3"> <h2>Home</h2> <ul class="bullets"> <li><a href="/" title="Home">Home</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>Sections</h2> <ul class="bullets"> <li><a href="/money">Money</a></li> <li><a href="/environment">Environment</a></li> <li><a href="/world">World</a></li> <li><a href="/science-and-technology">Science & Technology</a></li> <li><a href="/business-and-industry">Business & Industry</a></li> <li><a href="/health-and-public-welfare">Health & Public Welfare</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>Browse</h2> <ul class="bullets"> <li><a href="/agencies">Agencies</a></li> <li><a href="/topics">Topics (CFR Indexing Terms)</a></li> <li><a href="/documents/current">Dates</a></li> <li><a href="/public-inspection/current">Public Inspection</a></li> <li><a href="/presidential-documents/executive-orders">Executive Orders</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>Search</h2> <ul class="bullets"> <li><a href="/documents/search">Document Search</a></li> <li><a href="/documents/search#advanced">Advanced Document Search</a></li> <li><a href="/public-inspection/search">Public Inspection Search</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>Reader Aids</h2> <ul class="bullets"> <li><a href="/reader-aids/office-of-the-federal-register-announcements">Office of the Federal Register Announcements</a></li> <li><a href="/reader-aids/using-federalregister-gov">Using FederalRegister.Gov</a></li> <li><a href="/reader-aids/understanding-the-federal-register">Understanding the Federal Register</a></li> <li><a href="/reader-aids/recent-updates">Recent Site Updates</a></li> <li><a href="/reader-aids/federal-register-statistics">Federal Register & CFR Statistics</a></li> <li><a href="/reader-aids/videos-tutorials">Videos & Tutorials</a></li> <li><a href="/reader-aids/developer-resources">Developer Resources</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures">Government Policy and OFR Procedures</a></li> <li><a href="/reader-aids/congressional-review">Congressional Review</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>My FR</h2> <ul class="bullets"> <li><a href="/my/">My Clipboard</a></li> <li><a href="/my/subscriptions">My Subscriptions</a></li> <li><a href="/my/comments">My Comments</a></li> <li><a href="/auth/sign_in">Sign In</a></li> </ul> </div> <div class="col-xs-3 col-md-3"> <h2>Information</h2> <ul class="bullets"> <li><a href="/reader-aids/government-policy-and-ofr-procedures/about-this-site">About This Site</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures/about-this-site#legal-status">Legal Status</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures/contact-us">Contact Us</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures/privacy">Privacy</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures/accessibility">Accessibility</a></li> <li><a href="/reader-aids/government-policy-and-ofr-procedures/foia">FOIA</a></li> <li><a href="https://www.archives.gov/eeo/policy/no-fear-notice.html">No Fear Act</a></li> <li><a href="https://www.archives.gov/federal-register/write/newsletter/2024-may">Continuity Information</a></li> </ul> </div> <div id="zendesk-link"> <a href="" class="btn site-feedback-button" aria-label="Site Feedback"> <span class="icon-fr2 icon-fr2-Chat "></span> <span class="desktop-only">Site Feedback</span> </a> </div> </div> </body> </html>

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Federal Register :: Submission for OMB Review; Comment Request: Extension: Rule 12d3-1