(a) Purpose: This subpart collects and displays the control numbers assigned to information collection requirements of the Commission by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980, 44 U.S.C. 3500 et seq. This subpart displays current OMB control numbers for those information collection requirements of the Commission that are rules and regulations and codified in 17 CFR either in full text or incorporated by reference with the approval of the Director of the Office of the Federal Register.
(b) Display. ------------------------------------------------------------------------
17 CFR part or section
Information collection where identified and Current OMB
requirement described control No.------------------------------------------------------------------------Regulation S-X................... Part 210................ 3235-0009Regulation S-B................... Part 228................ 3235-0417Regulation S-K................... Part 229................ 3235-0071Rule 154......................... 230.154................. 3235-0495Rule 155......................... 230.155................. 3235-0549Rule 236......................... 230.236................. 3235-0095Rule 237......................... 230.237................. 3235-0528Regulation A..................... 230.251 thru 230.263.... 3235-0286Regulation C..................... 230.400 thru 230.494.... 3235-0074Rule 425......................... 230.425................. 3235-0521Rule 477......................... 230.477................. 3235-0550Rule 489......................... 230.489................. 3235-0411Rule 498......................... 230.498................. 3235-0488Regulation D..................... 230.500 thru 230.508.... 3235-0076Regulation E..................... 230.601 thru 230.610a... 3235-0232Rule 604......................... 230.604................. 3235-0232Rule 605......................... 230.605................. 3235-0232Rule 609......................... 230.609................. 3235-0233Rule 701......................... 230.701................. 3235-0522Regulation S..................... 230.901 thru 230.905.... 3235-0357Regulation S-T................... Part 232................ 3235-0424Form SB-1........................ 239.9................... 3235-0423Form SB-2........................ 239.10.................. 3235-0418Form S-1......................... 239.11.................. 3235-0065Form S-2......................... 239.12.................. 3235-0072Form S-3......................... 239.13.................. 3235-0073Form N-2......................... 239.14.................. 3235-0026Form N-1A........................ 239.15A................. 3235-0307Form S-6......................... 239.16.................. 3235-0184Form S-8......................... 239.16b................. 3235-0066Form N-3......................... 239.17a................. 3235-0316Form N-4......................... 239.17b................. 3235-0318Form S-11........................ 239.18.................. 3235-0067Form N-14........................ 239.23.................. 3235-0336Form N-5......................... 239.24.................. 3235-0169Form S-4......................... 239.25.................. 3235-0324Form F-1......................... 239.31.................. 3235-0258Form F-2......................... 239.32.................. 3235-0257Form F-3......................... 239.33.................. 3235-0256Form F-4......................... 239.34.................. 3235-0325Form F-6......................... 239.36.................. 3235-0292Form F-7......................... 239.37.................. 3235-0383Form F-8......................... 239.38.................. 3235-0378Form F-10........................ 239.40.................. 3235-0380Form F-80........................ 239.41.................. 3235-0404Form F-X......................... 239.42.................. 3235-0379Form F-N......................... 239.43.................. 3235-0411Form ID.......................... 239.63.................. 3235-0328Form SE.......................... 239.64.................. 3235-0327Form TH.......................... 239.65.................. 3235-0425Form 1-A......................... 239.90.................. 3235-0286Form 2-A......................... 239.91.................. 3235-0286Form 144......................... 239.144................. 3235-0101Form 1-E......................... 239.200................. 3235-0232Form CB.......................... 239.800................. 3235-0518Rule 6a-1........................ 240.6a-1................ 3235-0017Rule 6a-3........................ 240.6a-3................ 3235-0021Rule 6a-4........................ 240.6a-4................ 3235-0554Rule 6h-1........................ 240.6h-1................ 3235-0555Rule 8c-1........................ 240.8c-1................ 3235-0514Rule 9b-1........................ 240.9b-1................ 3235-0480Rule 10a-1....................... 240.10a-1............... 3235-0475Rule 10b-10...................... 240.10b-10.............. 3235-0444Rule 10b-17...................... 240.10b-17.............. 3235-0476Rule 10b-18...................... 240.10b-18.............. 3235-0474Rule 10A-1....................... 240.10A-1............... 3235-0468Rule 11a1-1(T)................... 240.11a1-1(T)........... 3235-0478Rule 12a-5....................... 240.12a-5............... 3235-0079Regulation 12B................... 240.12b-1 thru 240.12b- 3235-0062
36.Rule 12d1-3...................... 240.12d1-3.............. 3235-0109Rule 12d2-1...................... 240.12d2-1.............. 3235-0081Rule 12d2-2...................... 240.12d2-2.............. 3235-0080
Rule 12f-1....................... 240.12f-1............... 3235-0128Rule 13a-16...................... 240.13a-16.............. 3235-0116Regulation 13D/G................. 240.13d-1 thru 240.13d-7 3235-0145Schedule 13D..................... 240.13d-101............. 3235-0145Schedule 13G..................... 240.13d-102............. 3235-0145Rule 13e-1....................... 240.13e-1............... 3235-0305Rule 13e-3....................... 240.13e-3............... 3235-0007Schedule 13E-3................... 240.13e-100............. 3235-0007Schedule 13e-4F.................. 240.13e-101............. 3235-0375Regulation 14A................... 240.14a-1 thru 240.14a- 3235-0059
12.Schedule 14A..................... 240.14a-101............. 3235-0059Regulation 14C................... 240.14c-1............... 3235-0057Schedule 14C..................... 240.14c-101............. 3235-0057Regulation 14D................... 240.14d-1 thru 240.14d-9 3235-0102Schedule TO...................... 240.14d-100............. 3235-0515Schedule 14D-1................... 240.14d-101............. 3235-0102Schedule 14D-9................... 240.14d-101............. 3235-0102Schedule 14D-1F.................. 240.14d-102............. 3235-0376Schedule 14D-9F.................. 240.14d-103............. 3235-0382Regulation 14E................... 240.14e-1 thru 240.14e-2 3235-0102Rule 14f-1....................... 240.14f-1............... 3235-0108Rule 15a-4....................... 240.15a-4............... 3235-0010Rule 15a-6....................... 240.15a-6............... 3235-0371Rule 15b1-1...................... 240.15b1-1.............. 3235-0012Rule 15b6-1(a)................... 240.15b6-1(a)........... 3235-0018Rule 15c1-5...................... 240.15c1-5.............. 3235-0471Rule 15c1-6...................... 240.15c1-6.............. 3235-0472Rule 15c1-7...................... 240.15c1-7.............. 3235-0134Rule 15c2-1...................... 240.15c2-1.............. 3235-0485Rule 15c2-5...................... 240.15c2-5.............. 3235-0198Rule 15c2-7...................... 240.15c2-7.............. 3235-0479Rule 15c2-8...................... 240.15c2-8.............. 3235-0481Rule 15c2-11..................... 240.15c2-11............. 3235-0202Rule 15c2-12..................... 240.15c2-12............. 3235-0372Rule 15c3-1...................... 240.15c3-1.............. 3235-0200Rule 15c3-1(c)(13)............... 240.15c3-1(c)(13)....... 3235-0499Appendix F to Rule 15c3-1........ 240.15c3-1f............. 3235-0496Rule 15c3-3...................... 240.15c3-3.............. 3235-0078Rule 15c3-4...................... 240.15c3-4.............. 3235-0497Rule 15d-16...................... 240.15d-16.............. 3235-0116Rule 15g-2....................... 240.15g-2............... 3235-0434Rule 15g-3....................... 240.15g-3............... 3235-0392Rule 15g-4....................... 240.15g-4............... 3235-0393Rule 15g-5....................... 240.15g-5............... 3235-0394Rule 15g-6....................... 240.15g-6............... 3235-0395Rule 15g-9....................... 240.15g-9............... 3235-0385Rule 15Aj-1...................... 240.15Aj-1.............. 3235-0044Rule 15Ba2-1..................... 240.15Ba2-1............. 3235-0083Rule 15Ba2-5..................... 240.15Ba2-5............. 3235-0088Rule 15Bc3-1..................... 240.15Bc3-1............. 3235-0087Rule 17a-1....................... 240.17a-1............... 3235-0208Rule 17a-2....................... 240.17a-2............... 3235-0201Rule 17a-3....................... 240.17a-3............... 3235-0033Rule 17a-3(a)(16)................ 240.17a-3(a)(16)........ 3235-0508Rule 17a-4....................... 240.17a-4............... 3235-0279Rule 17a-4(b)(10)................ 240.17a-4(b)(10)........ 3235-0506Rule 17a-5....................... 240.17a-5............... 3235-0123Rule 17a-5(c).................... 240.17a-5(c)............ 3235-0199Rule 17a-6....................... 240.17a-6............... 3235-0489Rule 17a-7....................... 240.17a-7............... 3235-0131Rule 17a-8....................... 240.17a-8............... 3235-0092Rule 17a-9T...................... 240.17a-9T.............. 3235-0524Rule 17a-10...................... 240.17a-10.............. 3235-0122Rule 17a-11...................... 240.17a-11.............. 3235-0085Rule 17a-12...................... 240.17a-12.............. 3235-0498Rule 17a-13...................... 240.17a-13.............. 3235-0035Rule 17a-19...................... 240.17a-19.............. 3235-0133Rule 17a-22...................... 240.17a-22.............. 3235-0196Rule 17a-25...................... 240.17a-25.............. 3235-0540Rule 17f-1(b).................... 240.17f-1(b)............ 3235-0032Rule 17f-1(c).................... 240.17f-1(c)............ 3235-0037Rule 17f-1(g).................... 240.17f-1(g)............ 3235-0290
Rule 17f-2(a).................... 240.17f-2(a)............ 3235-0034Rule 17f-2(c).................... 240.17f-2(c)............ 3235-0029Rule 17f-2(d).................... 240.17f-2(d)............ 3235-0028Rule 17f-2(e).................... 240.17f-2(e)............ 3235-0031Rule 17f-5....................... 240.17f-5............... 3235-0269Rule 17h-1T...................... 240.17h-1T.............. 3235-0410Rule 17h-2T...................... 240.17h-2T.............. 3235-0410Rule 17Ab2-1..................... 240.17Ab2-1(a).......... 3235-0195Rule 17Ac2-1..................... 240.17Ac2-1............. 3235-0084Rule 17Ad-2(c), (d), and (h)..... 240.17Ad-2(c), (d) and 3235-0130
(h).Rule 17Ad-3(b)................... 240.17Ad-3(b)........... 3235-0473Rule 17Ad-4(b) and (c)........... 240.17Ad-4(b) and (c)... 3235-0341Rule 17Ad-6...................... 240.17Ad-6.............. 3235-0291Rule 17Ad-7...................... 240.17Ad-7.............. 3235-0291Rule 17Ad-10..................... 240.17Ad-10............. 3235-0273Rule 17Ad-11..................... 240.17Ad-11............. 3235-0274Rule 17Ad-13..................... 240.17Ad-13............. 3235-0275Rule 17Ad-15..................... 240.17Ad-15............. 3235-0409Rule 17Ad-16..................... 240.17Ad-16............. 3235-0413Rule 17Ad-17..................... 240.17Ad-17............. 3235-0469Rule 19b-1....................... 240.19b-1............... 3235-0354Rule 19b-4....................... 240.19b-4............... 3235-0045Rule 19b-4(e).................... 240.19b-4(e)............ 3235-0504Rule 19b-5....................... 240.19b-5............... 3235-0507Rule 19b-7....................... 240.19b-7............... 3235-0553Rule 19d-1....................... 240.19d-1(b) thru 3235-0206
240.19d-1(i).Rule 19d-2....................... 240.19d-2............... 3235-0205Rule 19d-3....................... 240.19d-3............... 3235-0204Rule 19h-1....................... 240.19h-1(a), (c) thru 3235-0259
(e), and (g).Rule 24b-1....................... 240.24b-1............... 3235-0194Rule 101......................... 242.101................. 3235-0464Rule 102......................... 242.102................. 3235-0467Rule 103......................... 242.103................. 3235-0466Rule 104......................... 242.104................. 3235-0465Rule 301......................... 242.301................. 3235-0509Rule 302......................... 242.302................. 3235-0510Rule 303......................... 242.303................. 3235-0505Rule 604......................... 242.604................. 3235-0462Rule 605......................... 242.605................. 3235-0542Rule 606......................... 242.606................. 3235-0541Rule 607......................... 242.607................. 3235-0435Rule 608......................... 242.608................. 3235-0500Rule 609......................... 242.609................. 3235-0043Rule 611......................... 242.611................. 3235-0600Regulation S-P................... Part 248................ 3235-0537Form 1........................... 249.1................... 3235-0017Form 1-N......................... 249.10.................. 3235-0554Form 25.......................... 249.25.................. 3235-0080Form 26.......................... 249.26.................. 3235-0079Form 3........................... 249.103................. 3235-0104Form 4........................... 249.104................. 3235-0287Form 5........................... 249.105................. 3235-0362Form 8-A......................... 249.208a................ 3235-0056Form 10.......................... 249.210................. 3235-0064Form 10-SB....................... 249.210b................ 3235-0419Form 18.......................... 249.218................. 3235-0121Form 20-F........................ 249.220f................ 3235-0288Form 40-F........................ 249.240f................ 3235-0381Form 6-K......................... 249.306................. 3235-0116Form 8-K......................... 249.308................. 3235-0060Form 10-Q........................ 249.308a................ 3235-0070Form 10-QSB...................... 249.308b................ 3235-0416Form 10-K........................ 249.310................. 3235-0063Form 10-KSB...................... 249.310b................ 3235-0420Form 11-K........................ 249.311................. 3235-0082Form 18-K........................ 249.318................. 3235-0120Form 12B-25...................... 249.322................. 3235-0058Form 15.......................... 249.323................. 3235-0167Form 13F......................... 249.325................. 3235-0006Form SE.......................... 249.444................. 3235-0327Form ID.......................... 249.446................. 3235-0328Form DF.......................... 249.448................. 3235-0482
Form BD.......................... 249.501................. 3235-0012Form BDW......................... 249.501a................ 3235-0018Form BD-N........................ 249.501b................ 3235-0556Form X-17A-5..................... 249.617................. 3235-0123Form X-17A-19.................... 249.635................. 3235-0133Form ATS......................... 249.637................. 3235-0509Form ATS-R....................... 249.638................. 3235-0509Form X-15AJ-1.................... 249.802................. 3235-0044Form X-15AJ-2.................... 249.803................. 3235-0044Form 19b-4....................... 249.819................. 3235-0045Form 19b-4(e).................... 249.820................. 3235-0504Form Pilot....................... 249.821................. 3235-0507Form SIP......................... 249.1001................ 3235-0043Form MSD......................... 249.1100................ 3235-0083Form MSDW........................ 249.1110................ 3235-0087Form X-17F-1A.................... 249.1200................ 3235-0037Form TA-1........................ 249b.100................ 3235-0084Form TA-W........................ 249b.101................ 3235-0151Form TA-2........................ 249b.102................ 3235-0337Form CA-1........................ 249b.200................ 3235-0195Rule 7a-15 thru 7a-37............ 260.7a-15 thru 260.7a-37 3235-0132Form T-1......................... 269.1................... 3235-0110Form T-2......................... 269.2................... 3235-0111Form T-3......................... 269.3................... 3235-0105Form T-4......................... 269.4................... 3235-0107Form ID.......................... 269.7................... 3235-0328Form SE.......................... 269.8................... 3235-0327Form T-6......................... 269.9................... 3235-0391Rule 0-1......................... 270.0-1................. 3235-0531Rule 2a-7........................ 270.2a-7................ 3235-0268Rule 2a19-1...................... 270.2a19-1.............. 3235-0332Rule 3a-4........................ 270.3a-4................ 3235-0459Rule 6c-7........................ 270.6c-7................ 3235-0276Rule 6e-2........................ 270.6e-2................ 3235-0177Rule 7d-1........................ 270.7d-1................ 3235-0311Rule 7d-2........................ 270.7d-2................ 3235-0527Section 8(b) of the Investment 270.8b-1 thru 270.8b-32. 3235-0176
Company Act of 1940.Rule 10f-3....................... 270.10f-3............... 3235-0226Rule 11a-2....................... 270.11a-2............... 3235-0272Rule 11a-3....................... 270.11a-3............... 3235-0358Rule 12b-1....................... 270.12b-1............... 3235-0212Rule 17a-7....................... 270.17a-7............... 3235-0214Rule 17a-8....................... 270.17a-8............... 3235-0235Rule 17e-1....................... 270.17e-1............... 3235-0217Rule 17f-1....................... 270.17f-1............... 3235-0222Rule 17f-2....................... 270.17f-2............... 3235-0223Rule 17f-4....................... 270.17f-4............... 3235-0225Rule 17f-6....................... 270.17f-6............... 3235-0447Rule 17f-7....................... 270.17f-7............... 3235-0529Rule 17g-1(g).................... 270.17g-1(g)............ 3235-0213Rule 17j-1....................... 270.17j-1............... 3235-0224Rule 18f-1....................... 270.18f-1............... 3235-0211Rule 18f-3....................... 270.18f-3............... 3235-0441Rule 19a-1....................... 270.19a-1............... 3235-0216Rule 20a-1....................... 270.20a-1............... 3235-0158Rule 22d-1....................... 270.22d-1............... 3235-0310Rule 23c-1....................... 270.23c-1............... 3235-0260Rule 23c-3....................... 270.23c-3............... 3235-0422Rule 27e-1....................... 270.27e-1............... 3235-0545Rule 30b2-1...................... 270.30b2-1.............. 3235-0220Rule 30d-2....................... 270.30d-2............... 3235-0494Rule 30e-1....................... 270.30e-1............... 3235-0025Rule 31a-1....................... 270.31a-1............... 3235-0178Rule 31a-2....................... 270.31a-2............... 3235-0179Rule 32a-4....................... 270.32a-4............... 3235-0530Rule 34b-1....................... 270.34b-1............... 3235-0346Rule 35d-1....................... 270.35d-1............... 3235-0548Form N-5......................... 274.5................... 3235-0169Form N-8A........................ 274.10.................. 3235-0175Form N-2......................... 274.11a-1............... 3235-0026Form N-3......................... 274.11b................. 3235-0316Form N-4......................... 274.11c................. 3235-0318
Form N-8B-2...................... 274.12.................. 3235-0186Form N-6F........................ 274.15.................. 3235-0238Form 24F-2....................... 274.24.................. 3235-0456Form N-18F-1..................... 274.51.................. 3235-0211Form N-54A....................... 274.53.................. 3235-0237Form N-54C....................... 274.54.................. 3235-0236Form N-SAR....................... 274.101................. 3235-0330Form N-27E-1..................... 274.127e-1.............. 3235-0545Form N-27F-1..................... 274.127f-1.............. 3235-0546Form N-17D-1..................... 274.200................. 3235-0229Form N-23C-1..................... 274.201................. 3235-0230Form N-8F........................ 274.218................. 3235-0157Form N-17F-1..................... 274.219................. 3235-0359Form N-17F-2..................... 274.220................. 3235-0360Form N-23c-3..................... 274.221................. 3235-0422Form ID.......................... 274.402................. 3235-0328Form SE.......................... 274.403................. 3235-0327Rule 0-2......................... 275.0-2................. 3235-0240Rule 203-3....................... 275.203-3............... 3235-0538Rule 204-2....................... 275.204-2............... 3235-0278Rule 204-3....................... 275.204-3............... 3235-0047Rule 206(3)-2.................... 275.206(3)-2............ 3235-0243Rule 206(4)-2.................... 275.206(4)-2............ 3235-0241Rule 206(4)-3.................... 275.206(4)-3............ 3235-0242Rule 206(4)-4.................... 275.206(4)-4............ 3235-0345Form ADV......................... 279.1................... 3235-0049Schedule I to Form ADV........... 279.1................... 3235-0490Form ADV-W....................... 279.2................... 3235-0313Form ADV-H....................... 379.3................... 3235-0538Form 4-R......................... 279.4................... 3235-0240Form 5-R......................... 279.5................... 3235-0240Form 6-R......................... 279.6................... 3235-0240Form 7-R......................... 279.7................... 3235-0240Form ADV-E....................... 279.8................... 3235-0361------------------------------------------------------------------------ [67 FR 14634, Mar. 27, 2002, as amended at 70 FR 37611, June 29, 2005; 76 FR 46616, Aug. 3, 2011; 77 FR 18684, Mar. 28, 2012; 80 FR 6902, Feb. 9, 2015]