Change Requests

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NOAA Space-Based Data Collection System (DCS) Agreements

Key Information

Abstract

This request is for a revision and extension of an existing information collection. The Polar-Orbiting Operational Environmental Satellite (POES) data collection system (DCS), also known as the Argos system, is being removed from this collection as it is no longer administered by the National Oceanic and Atmospheric Administration (NOAA). NOAA operates a space-based DCS per 15 CFR Part 911: the Geostationary Operational Environmental Satellite (GOES) DCS. The GOES DCS is operated to support environmental applications, e.g., meteorology, oceanography, hydrology, ecology, and remote sensing of Earth resources. Presently, the majority of users of this system are government agencies and researchers and much of the data collected by the GOES DCS are provided to the World Meteorological Organization via the Global Telecommunication System for inclusion in the World Weather Watch Program.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 313	View Law

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National Worker Survey

Key Information

Abstract

The National Worker Survey aims to estimate the prevalence of non-compliance with the Fair Labor Standards Act (FLSA) among nonexempt workers across various industries, with an emphasis on low-wage sectors. The survey employs both Address-Based Sampling to reach a representative sample of nonexempt U.S. workers and Respondent-Driven Sampling to gather data from workers in industries with higher incidences of wage and hour violations. The data collected will inform DOL in its efforts to improve compliance with the FLSA, optimize enforcement strategies, and enhance protections for vulnerable workers.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

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Water Request

Key Information

Abstract

The BIA owns, operates, and maintains irrigation projects that provide a service to the end user. To properly bill for the services provided, the BIA must collect customer information to identify the individual responsible for repaying the government the costs of delivering the service; determine eligibility for waiver of fees; and determine designation of irrigable lands as assessable or non-assessable. Additional information necessary for providing the service is the location of the service delivery and the number of serviced acres. The Debt Collection Improvement Act of 1996 (DCIA) requires that certain information be collected from individuals and businesses doing business with the government. This information includes the taxpayer identification number for possible future use to recover delinquent debt. To implement the DCIA requirement

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

31 USC 3701-3733	View Law

25 USC 381	View Law

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State Water Resources Research Institute Program Annual Application. National Competitive Grants and Reporting

Key Information

Abstract

The Water Resources Research Act of 1984, as amended (42 USC 10301 et seq.), authorizes a research institute water resources or center in each of the 50 States, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Guam, the Federated States of Micronesia, the Commonwealth of the Northern Marina Islands, and American Samoa. There are currently 54 such institutes, one in each State, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, and Guam. The institute in Guam is a regional institute serving Guam, the Federated States of Micronesia, and the Commonwealth of the Northern Mariana Islands. Each of the 54 institutes submits an annual application for an allotment grant and provides an annual report on its activities under the grant. The State Water Resources Research Institute Program issues an annual call for applications from the institutes to support plans to promote research, training, information dissemination, and other activities meeting the needs of the States and Nation. The program also encourages regional cooperation among institutes in research into areas of water management, development, and conservation that have a regional or national character. The U.S. Geological Survey has been designated as the administrator of the provisions of the Act.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 10301 et seq	View Law

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National Underground Railroad Network to Freedom Program

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Abstract

The National Underground Railroad Network to Freedom Act of 1998 (54 U.S.C. § 308301, et seq.) authorizes the Secretary of the Interior to establish the Network to Freedom (Network). The Network is a collection of sites, facilities, and programs, both governmental and nongovernmental, around the United States. All entities must have a verifiable association with the historic Underground Railroad movement. Federal agencies, State Historic Preservation Offices, other State agencies, local governments, organizations, and individuals who wish to become members of the Network complete the Network Application Form. We review the completed form to verify the historical associations and management activities.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

54 USC 308301	View Law

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Nomination of Properties for Designation as National Historic Landmarks, 36 CFR 65

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Abstract

The Historic Sites Act of 1935 (16 U.S.C. 461-467) directs the Secretary of the Interior (Secretary), through the National Park Service (we, NPS), to survey historic and archeological sites, buildings, and objects to determine those that possess exceptional value in commemorating or illustrating the history of the United States. In accordance with the law and 36 CFR Part 65, individuals, businesses, Federal agencies, State and local public agencies, State Historic Preservation Officers, territories, and Indian tribes, may submit nominations for National Historic Landmark (NHL) designation. An NHL is an historic building, site, structure, object, or district that represents an outstanding aspect of American history and culture. There are over 2,600 properties designated as NHLs.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

54 USC 300101 et seq.	View Law

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Application for Consent to Reduce or Retire Capital

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Abstract

Insured institutions must obtain the prior consent of the FDIC before reducing the amount or retiring any part of its common or preferred capital stock, or retiring any part of its capital notes or debentures.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

12 USC 1828(i)	View Law

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CMS Plan Benefit Package (PBP) and Formulary CY 2027 (CMS-R-262) - IRA

Key Information

Abstract

CMS has incorporated the following changes to address the Inflation Reduction Act (IRA). This includes new attestations and data entry fields to reflect Part D policy changes (i.e., new insulin and vaccine benefits and $0 cost sharing in the catastrophic phase) that are required by the IRA, specifically Sections 11101, 11201, 11401, and 11406. CMS is also modernizing the PBP software by migrating from its current client/server based platform to a new web-based module within HPMS. This initiative is critical, as the current platform technically antiquated. The new PBP module will enhance system security, improve the user interface, streamline the bid submission process, increase system performance, and provide greater flexibility to accommodate unique benefit designs. CMS requires that MA and PDP organizations submit a completed formulary and PBP as part of the annual bidding process. During this process, organizations prepare their proposed plan benefit packages for the upcoming contract year and submit them to CMS for review and approval.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 117 - 169 11101,11201, 11401, and 11406	View Law

Pub.L. 108 - 173 101	View Law

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NRC Form 754, Armed Security Personnel Firearms Background Check

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Abstract

Current NRC security regulations include security requirements pertaining to nuclear power reactors and Category I Strategic Special Nuclear Material (SSNM) facilities for access to enhanced weapons and firearms background checks. NRC Form 754 collects the information required to perform the necessary firearms background checks. The background check uses the person's fingerprints and other identifying information and is performed under the Federal Bureau of Investigation's National Instant Criminal Background Check System to determine if an individual is prohibited under Federal or State law from possessing or receiving firearms. Licensees submit NRC Form 754 for all security personnel protecting Commission designated facilities, radioactive material, or other property whose duties require them to have access to these weapons.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 83 - 703 68 Stat. 919	View Law

Pub.L. 109 - 58 119 Stat. 594	View Law

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Importation of Poultry Meat and other Poultry Products from Sinaloa and Sonora, Mexico; Poultry and Pork Transiting the United States from Mexico

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Abstract

To prevent and restrict the importation of poultry meat and other poultry products from Mexico due to the presence of Newcastle Disease in that country without a foreign meat inspection certificate accompanying the products from Sinaloa and Sonora to the United States.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

7 USC 8301	View Law

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Conditions for Payment of Avian Influenza Indemnity Claims

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Abstract

The information collected is used to characterize and understand the scope of on-farm biosecurity practices, and to further develop plans for minimizing future outbreaks of Highly Pathogenic Avian Influenza (HPAI) using improved control options.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

7 USC 8301	View Law

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Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.

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Abstract

Form N-14 (17 CFR 239.23) is used by management investment companies and business development companies (collectively, "funds") to register under the Securities Act of 1933 securities to be issued in certain types of transactions, including certain fund mergers. Form N-14 provides investors with material information regarding such securities. This collection is a reporting requirement to file information with the SEC, which allows it to verify compliance with securities laws.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 77e	View Law

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[NCCDPHP] Evaluation Reporting Template for the National and State Tobacco Control Program

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Abstract

The purpose of this request is to evaluate the National Center for Chronic Disease Prevention and Health Promotion cooperative agreement CDC-RFA-DP20-2001: National and State Tobacco Control Program. Information will be used for measuring the progress made by National and State Tobacco Control programs and to respond to inquiries from the Department of Health and Human Services (HHS), the U.S. Congress, and other sources about outcomes of funding. This is an Extension ICR submitted to request an additional three-year approval period.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 241	View Law

Pub.L. 98 - 474 1	View Law

15 USC 4401	View Law

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Fatality Analysis Reporting System (FARS)

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Abstract

The National Highway Traffic Safety Administration (NHTSA) is seeking approval from OMB of this information collection request (ICR) for an extension with modification of its currently approved information collection for the Fatality Analysis Reporting System (FARS) information collection. NHTSA is seeking approval to modify the collection to include the collection of the portion of NHTSA’s Non-Traffic Surveillance (NTS) data that is submitted through the FARS data collection effort. NHTSA is authorized by 49 U.S.C. 30182 and 23 U.S.C. 402, 403 & 405 to collect data on motor vehicle traffic crashes to aid in the identification of issues and the development, implementation, and evaluation of motor vehicle and highway safety countermeasures to support efforts to reduce injuries and fatalities caused by motor vehicle crashes. The FARS is a voluntary information collection of fatal motor vehicle traffic crashes. The FARS data collection started in 1975 and is a census of all defined crashes involving fatalities in the country. The FARS collects annual data from all 50 States, the District of Columbia, and Puerto Rico under cooperative agreements. State employees collect and process information from existing State files including police crash reports as well as driver license, vehicle registration, highway department files, and vital statistics files. NHTSA aggregates the data for research and analysis in support of motor vehicle regulations and highway safety programs. This supports NHTSA’s mission by providing the agency vital information about fatal crashes. The aggregated data comprises a national database that tracks trends in fatalities and quantifying problems in highway safety. The FARS data are used extensively by NHTSA, other DOT modes, States, and local jurisdictions and the highway research community. Congress uses the FARS data for making decisions concerning safety programs. The FARS data are publicly available. The Non-Traffic Surveillance (NTS) is an automated data collection effort for collecting information about non-traffic crashes and non-crash incidents. The NTS data provide counts and details regarding fatalities and injuries that occur in non-traffic crashes and in non-crash incidents. The NTS non-traffic crash data are obtained through NHTSA’s data collection efforts for the Crash Report Sampling System (CRSS), the Crash Investigation Sampling System (CISS), and FARS. NTS also includes data outside of NHTSA’s own data collections. NTS’ non-crash injury data are based upon emergency department records from a special study conducted by the Consumer Product Safety Commission’s National Electronic Injury Surveillance System (NEISS) All Injury Program. NTS non-crash fatality data are derived from death certificate information from the Centers for Disease Control’s National Vital Statistics System. This ICR only seeks approval for the collection of NTS data for NTS that comes from the FARS data collection effort. The annual burden has been adjusted from 107,209 to 118,762 hours (an increase of 11,553 hours), while the costs are maintained at $0. The adjustment in burden hours is due to the increase in the complexity of coding the FARS cases and an increase in the number of fatal crashes across most States. The increase also accounts for the time to process the non-traffic fatalities for NTS. Furthermore, while time for manually inputting data has decreased with States implementing systems to electronically transfer police report data that prepopulate NHTSA’s data systems, including FARS, the overall burden increased because, over the past two years, there has been an increase in staff turnover at the State level, adding an increase in administrative hours, training, and coding assistance to continue operations.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

23 USC 402	View Law

23 USC 403	View Law

23 USC 405	View Law

49 USC 30182	View Law

Pub.L. 110 - 189 3	View Law

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[NCHHSTP] Resources and Services Database of the National Prevention Information Network

Key Information

Abstract

The goal of project is to collect information from and about organizations that provide services related to HIV/AIDS, viral hepatitis, STDs, and TB at the local, state, and national level. The intended use of the resulting data is to support a resource for referrals, to facilitate partnerships and coordination among programs dealing with HIV/AIDS, viral hepatitis, STDs, and TB, and to satisfy the legislative mandate that information and education on HIV/AIDS be made available expeditiously and accurately to the professional community and to the general public. Methods to be used to collect the information include online telephone calls and an online form to collect information from representatives of the organizations that provide covered services. This Revision is submitted to: 1) Make small changes to the format of the survey 1) Make changes to the surveys involving the decrease in the number of services (7) and fees (3) 2) Increase the number of organizations needing an annual update. Revision of 0920-0255 results in an overall increase in burden hours to 1,451

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 241	View Law

Pub.L. 100 - 607 301	View Law

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Application for Loans under the Advanced Technology Vehicles Manufacturing Incentive Program

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Abstract

DOE has issued regulations (10 CFR Part 611) governing applications for loans from the United States Department of Energy to finance manufacturing facilities located in the United States and engineering integration performed in the United States for the manufacture of advanced technology vehicles and components. The information applicants are asked to provide pursuant to this information collection request will be evaluated by DOE to determine which applicants qualify for the Department’s loans under this program. The collection of this information is critical to ensure that the government has sufficient information to determine whether applicants meet the eligibility requirements to qualify for a DOE loan and to provide DOE with sufficient information to evaluate an applicant’s project using the criteria specified in 10 CFR Part 611.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 110 - 140 136	View Law

Pub.L. 110 - 329 129(a)	View Law

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Electric Power Surveys

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Abstract

The electricity surveys collect data from entities involved in the production, transmission, delivery, and sale of electricity, as well as those responsible for maintaining the reliable operation of the power system. These data serve as the primary source of information on the nation’s electric power industry. EIA requests a three-year extension, with changes, to the Electric Power Surveys. The Electric Power Surveys Program collects data through annual, monthly, and daily/hourly surveys, each with its own set (or subset) of respondents to measure activity in specific sectors of the electric power industry. Forms EIA‑860, EIA‑861, and EIA‑923 include monthly data collections, and EIA‑861 also includes a short‑form version (EIA‑861S).

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

Pub.L. 93 - 275 13(b)	View Law

15 USC 790(a)	View Law

15 USC 772	View Law

15 USC 764	View Law

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[NCZEID] Report of Illness or Death: Interstate Travel of Persons (42 CFR part 70)

Key Information

Abstract

The goal of this information collection is to ensure that CDC can collect data related to communicable diseases or deaths that occur aboard conveyances during interstate travel within the United States. Data is used by CDC to assess and respond to reports of communicable disease or death that occur on conveyances engaged in interstate travel, and assist state and local health authorities if an illness or death occurs that poses a risk to public health. As required by regulation, all instances of communicable disease characterized by certain signs and symptoms must be reported to the local health authority with jurisdiction over the arrival port. CDC has accepted reports to CDC as fulfilling this requirement. CDC also requests reports of all deaths occurring during domestic flights. In this Revision, CDC is consolidating several aviation‑related information collections under one OMB control number to streamline PRA submissions and align burden estimates with current post‑COVID‑19 reporting levels. Multiple forms were updated to reflect new terminology, revised exposure and symptom fields, updated security and submission instructions, and alignment with Executive Order 14168 by replacing “gender” with “sex.” Most affected tools also had their OMB Control Numbers updated to 0920‑0488 for consistency.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 241	View Law

42 USC 70-71	View Law

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Disability Update Report

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Abstract

Periodically SSA uses Form SSA-455, the Disability Report Update, to evaluate current Title II disability beneficiaries and Title XVI disability payment recipients' continued eligibility for Social Security disability payments. Specifically, SSA uses the form to determine if: (1) there is enough evidence to warrant referring the respondent for a full medical Continuing Disability Review (CDR); (2) the respondent's impairment(s) is still present and is indicative of no medical improvement, precluding the need for a CDR; or (3) there are unresolved work-related issues for the respondent. SSA mails Form SSA-455 to specific disability recipients, whom we select as possibly qualifying for the continuing disability review process. SSA pre-fills the form with data specific to the disability recipient, except for the sections we ask the beneficiary to complete. When SSA receives the completed form, we optically scan it into SSA's system. This allows us to gather the information electronically to enable SSA to process the returned forms through automated decision logic to decide the proper course of action we will take. The respondents are recipients of Title II and Title XVI Social Security disability payments. We are making minor revisions to the paper versions of the form to remove the signature requirement and to replace the SSN# with the Beneficiary Notice Control number.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 423	View Law

42 USC 1383	View Law

42 USC 1382c	View Law

42 USC 421	View Law

42 USC 1383b	View Law

42 USC 405	View Law

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Work History Report

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Abstract

SSA asks individuals applying for disability about work they performed in the past. Applicants use Form SSA-3369, Work History Report, to provide SSA with detailed information about applicant’s jobs held prior to becoming unable to work. State Disability Determination Services evaluate the information together with medical evidence, to determine eligibility for disability payments. The respondents are disability applicants and third parties assisting applicants. We are submitting a non-substantive Change Request to include the Final Rule revisions currently approved under 0960-0834 (Intermediate Improvement to the Disability Adjudication Process, Including How We Consider Past Work) under this ICR. Upon OMB's approval of this Change Request (and the Change Requests for both 0960-0300 and 0960-0579), we will discontinue the ICR for 0960-0834 to avoid double-counting the burden for these information collections.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 423	View Law

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Disability Report - Adult

Key Information

Abstract

State Disability Determination Services (DDS) use Form SSA-3368, Disability Report – Adult, and its electronic versions, to determine if an adult disability applicant’s impairment(s) is severe and, if so, how the impairment(s) affects the applicant’s ability to work. This determination dictates whether the DDS and SSA will find the applicant disabled. The information we collect on the SSA 3368 is used by the State Disability Determination Services (DDS) to obtain evidence and evaluate whether or not an individual is found disabled. The collection is mandatory for applicants filing to obtain Title II disability benefits or Title XVI Supplemental Security Income (SSI) payments. We collect this information from the individual one time. We collect the information via several modalities: the SSA-3368-BK PDF paper form, the EDCS SSA-3368 Intranet application, and the i3368 Internet application. The respondents complete the SSA-3368 by themselves with self help information available, or another may complete the paper form or electronic application on their behalf. The respondents generally do not need information from someone else to complete the application. The respondents are disability applicants or third parties assisting the applicants applying for Title II disability benefits or Title XVI SSI payments. We are submitting a non-substantive Change Request to include the Final Rule revisions currently approved under 0960-0834 (Intermediate Improvement to the Disability Adjudication Process, Including How We Consider Past Work) under this ICR. Upon OMB's approval of this Change Request (and the Change Requests for both 0960-0300 and 0960-0578), we will discontinue the ICR for 0960-0834 to avoid double-counting the burden for these information collections.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 205(a)	View Law

42 USC 223(d)(5)(A)	View Law

42 USC 1631(e)(1)	View Law

42 USC 1631(d)(1)	View Law

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Application for Child's Insurance Benefits

Key Information

Abstract

Title II of the Social Security Act (Act) provides for the payment of monthly benefits to children of an insured retired, disabled, or deceased worker. Section 202(d) of the Act discloses the conditions and requirements the applicant must meet when filing an application. An unmarried child who has a parent who is retired or has a disability and is entitled to Social Security benefits, or who has a parent who died after having worked long enough in a job where they paid Social Security taxes, is entitled to receive benefits. An unmarried child can receive benefits if they meet one of the following criteria: (1) the child is younger than 18; (2) the child is a full-time student at an elementary or secondary school (grade 12 or below); (3) the child is age 18 to 19 and attending elementary or secondary school full-time; or (4) the child is age 18 or older with a disability that began before age 22. Under certain circumstances, SSA can also pay benefits to a stepchild, grandchild, step-grandchild, or adopted child. Respondents can download and complete Form SSA 4 BK at www.ssa.gov and mail it back to SSA, or they can call SSA to schedule an appointment at the field office, where an SSA employee can interview respondents and enter information into our Modernized Claims Systems (MCS). When applying for benefits for a child, the respondent needs to provide SSA with the following information: (1) the child’s birth certificate or other proof of birth or adoption; and (2) the parent’s and child’s Social Security numbers. Depending on the type of benefit involved, SSA may require other documents for example: if applying for survivors benefits for the child, SSA requires proof of the parent’s death; and if applying for benefits for a child with a disability, SSA requires medical evidence to prove the child’s disability. The SSA representative helping the respondent with their application tells them what other documents they may need, or the respondent can find the information on SSA’s website. SSA uses the information on Form SSA-4-BK to determine entitlement for children of living and deceased workers to monthly Social Security payments. The respondents are guardians completing the form on behalf of the children of living or deceased workers, or the children of living or deceased workers.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

42 USC 404(d)	View Law

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Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions

Key Information

Abstract

Rule 15c2-5 prohibits a broker-dealer from arranging or extending certain loans to customers in connection with the offer or sale of securities, unless, before entering the transaction, the broker-dealer reasonably determines and documents that the transaction is suitable for the customer.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 78o	View Law

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Form F-10 - Registration Statement

Key Information

Abstract

Form F-10 (17 CFR 239.40) is a registration statement available for use by certain Canadian foreign private issuers. The purpose of this information collection is to encourage cross-border offerings, permit verification of compliance with securities law requirements, and assure the public availability of such information. A Form F-10 registrant must comply with disclosure requirements of the appropriate Canadian securities administrator together with specified disclosure items on Form F-10. The disclosure items of Form F-10, combined with the disclosure that has already been approved by a Canadian securities commission, reflect the Commission’s experience and best judgment as to information regarding an issuer and the offering that should be required to be disclosed to prospective investors. The principal function of the Commission’s forms and rules under the securities laws’ disclosure provisions is to make information available to investors. The information on Form F-10 can be used by security holders, investors and others in evaluating securities and making investment decisions with respect to such securities.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 77g, 77j, 77s(a)	View Law

15 USC 78c, 78l, 78m, 78n, 78o(d)	View Law

15 USC 78w(a), 78ll	View Law

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Rule 17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans

Key Information

Abstract

Section 17(d) of the Investment Company Act of 1940 (the “Act”) (15 U.S.C. 80a-17(d)) makes it unlawful for an affiliated person of or a principal underwriter for a registered investment company (“fund”), or any affiliated person of such a person or principal underwriter, acting as principal, to effect any transaction in which the fund is a joint or a joint and several participant, in contravention of Commission rules. Pursuant to this provision, the Commission adopted rule 17d-1 (17 CFR 270.17d-1) in 1946 and has amended the rule on numerous occasions. The rule contains two filing and recordkeeping requirements that constitute collections of information. First, rule 17d-1 requires funds that wish to engage in a joint transaction or arrangement with affiliates to meet the procedural requirements for obtaining exemptive relief from the rule’s prohibition on joint transactions or arrangements involving first- or second-tier affiliates. Second, rule 17d-1 permits a portfolio affiliate to enter into a joint transaction or arrangement with the fund if a prohibited participant has a financial interest that the fund's board determines is not material and records the basis for this finding in their meeting minutes. These requirements of rule 17d-1 are designed to prevent fund insiders from managing funds for their own benefit, rather than for the benefit of the funds’ shareholders.

Federal Register Notices

60-Day FRN	View Notice
30-Day FRN	View Notice

Authorizing Statutes

15 USC 80a-17(d)	View Law

Presidential Action: