8011-01P
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-526, OMB Control No. 3235-0584]
Proposed Collection; Comment Request; Extension: Rule 12d1-1
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.), the Securities and Exchange Commission (the “Commission”) is soliciting comments
on the collection of information summarized below. The Commission plans to submit this existing
collection of information to the Office of Management and Budget (“OMB”) for extension and
approval.
An investment company (“fund”) is generally limited in the amount of securities the fund
(“acquiring fund”) can acquire from another fund (“acquired fund”). Section 12(d) of the
Investment Company Act of 1940 (the “Investment Company Act” or “Act”)1 provides that a
registered fund (and companies it controls) cannot:
•

acquire more than three percent of another fund’s securities;

•

invest more than five percent of its own assets in another fund; or

•

invest more than ten percent of its own assets in other funds in the aggregate.2

In addition, a registered open-end fund, its principal underwriter, and any registered
broker or dealer cannot sell that fund’s shares to another fund if, as a result:

See 15 U.S.C. 80a.

See 15 U.S.C. 80a-12(d)(1)(A). If an acquiring fund is not registered, these limitations apply
only with respect to the acquiring fund’s acquisition of registered funds.
•

the acquiring fund (and any companies it controls) owns more than three percent
of the acquired fund’s stock; or

•

all acquiring funds (and companies they control) in the aggregate own more than
ten percent of the acquired fund’s stock.3

Rule 12d1-1 under the Act provides an exemption from these limitations for “cash
sweep” arrangements in which a fund invests all or a portion of its available cash in a money
market fund rather than directly in short-term instruments.4 An acquiring fund relying on the
exemption may not pay a sales load, distribution fee, or service fee on acquired fund shares, or if
it does, the acquiring fund’s investment adviser must waive a sufficient amount of its advisory
fee to offset the cost of the loads or distribution fees.5 The acquired fund may be a fund in the
same fund complex or in a different fund complex. In addition to providing an exemption from
section 12(d)(1) of the Act, the rule provides exemptions from section 17(a) of the Act and rule
17d-1 thereunder, which restrict a fund’s ability to enter into transactions and joint arrangements
with affiliated persons.6 These provisions would otherwise prohibit an acquiring fund from

See 15 U.S.C. 80a-12(d)(1)(B).

See 17 CFR 270.12d1-1.

See rule 12d1-1(b)(1).

See 15 U.S.C. 80a-17(a), 15 U.S.C. 80a-17(d); 17 CFR 270.17d-1.

investing in a money market fund in the same fund complex,7 and prohibit a fund that acquires
five percent or more of the securities of a money market fund in another fund complex from
making any additional investments in the money market fund.8
The rule also permits a registered fund to rely on the exemption to invest in an
unregistered money market fund that limits its investments to those in which a registered money
market fund may invest under rule 2a-7 under the Act, and undertakes to comply with all the
other provisions of rule 2a-7.9 In addition, the acquiring fund must reasonably believe that the
unregistered money market fund (i) operates in compliance with rule 2a-7, (ii) complies with
sections 17(a), (d), (e), 18, and 22(e) of the Act10 as if it were a registered open-end fund, (iii) has
adopted procedures designed to ensure that it complies with these statutory provisions,
(iv) maintains the records required by rules 31a-1(b)(1), 31a-1(b)(2)(ii), 31a-1(b)(2)(iv), and
31a-1(b)(9);11 and (v) preserves permanently, the first two years in an easily accessible place, all
books and records required to be made under these rules.
Rule 2a-7 contains certain collection of information requirements. An unregistered

An affiliated person of a fund includes any person directly or indirectly controlling, controlled by, or
under common control with such other person; see 15 U.S.C. 80a-2(a)(3) (definition of “affiliated
person”); most funds today are organized by an investment adviser that advises or provides
administrative services to other funds in the same complex; funds in a fund complex are
generally under common control of an investment adviser or other person exercising a
controlling influence over the management or policies of the funds; see 15 U.S.C. 80a-2(a)(9)
(definition of “control”); not all advisers control funds they advise; the determination of whether
a fund is under the control of its adviser, officers, or directors depends on all the relevant facts
and circumstances; see Investment Company Mergers, Investment Company Act Release No.
25259 (Nov. 8, 2001) [66 FR 57602 (Nov. 15, 2001)], at n.11; to the extent that an acquiring
fund in a fund complex is under common control with a money market fund in the same
complex, the funds would rely on the rule’s exemptions from section 17(a) and rule 17d-1.
8

See 15 U.S.C. 80a-2(a)(3)(A), (B).

See 17 CFR 270.2a-7.

See 15 U.S.C. 80a-17(a), 15 U.S.C. 80a-17(d), 15 U.S.C. 80a-17(e), 15 U.S.C. 80a-18, 15
U.S.C. 80a-22(e).
See 17 CFR 270.31a-1(b)(1), 17 CFR 270.31a-1(b)(2)(ii), 17 CFR 270.31a-1(b)(2)(iv), 17
CFR 270.31a-1(b)(9).
money market fund that complies with rule 2a-7 would be subject to these collection of
information requirements. In addition, the recordkeeping requirements under rule 31a-1 with
which the acquiring fund reasonably believes the unregistered money market fund complies are
collections of information for the unregistered money market fund. The adoption of procedures
by unregistered money market funds to ensure that they comply with sections 17(a), (d), (e), 18,
and 22(e) of the Act also constitute collections of information. By allowing funds to invest in
registered and unregistered money market funds, rule 12d1-1 is intended to provide funds greater
options for cash management. In order for a registered fund to rely on the exemption to invest in
an unregistered money market fund, the unregistered money market fund must comply with
certain collection of information requirements for registered money market funds. These
requirements are intended to ensure that the unregistered money market fund has established
procedures for collecting the information necessary to make adequate credit reviews of securities
in its portfolio, as well as other recordkeeping requirements that will assist the acquiring fund in
overseeing the unregistered money market fund (and Commission staff in its examination of the
unregistered money market fund’s adviser).
The estimated average burden hours in this collection of information are made solely for
purposes of the Paperwork Reduction Act and are not derived from a quantitative,
comprehensive or even representative survey or study of the burdens associated with
Commission rules and forms. The number of unregistered money market funds that are affected
by rule 12d1-1 is an estimate based on the number of private liquidity funds reported on Form PF
as of the third calendar quarter 2023.12 The hour burden estimates for the condition that an
unregistered money market fund comply with rule 2a-7 are based on the burden hours included

See the U.S. Securities and Exchange Commission’s Division of Investment Management –
Analytics Office Private Funds Statistics, Third Calendar Quarter (March 31, 2024) available at
https://www.sec.gov/files/investment/2023q3-private-funds-statistics-20240331-accessible.pdf.
in the Commission’s 2022 PRA extension regarding rule 2a-7.13 We use the estimated burdens
for registered money market funds to extrapolate the information collection burdens for
unregistered money market funds under rule 12d1-1.
Based on the estimated burden of information collection for rule 2a-7 and Form PF
filings, the estimated burden of information collection for rule 12d1-1 is set forth in the table
below.
Rule 12d1-1 information collection burden estimates
for unregistered money market funds
Estimated Responses

Estimated Burden Hours

Estimated Internal Cost
Burden14

85 responses annually per
33 liquidity funds15

680 burden hours of
professional (business

$276 per hour
(intermediate business

Record of credit risk
analyses, and
determination
regarding adjustable
rate securities, asset
backed securities,
securities subject to a
demand feature or
guarantee, and
counterparties to
repurchase agreements

See Securities and Exchange Commission, Request for OMB Approval of Extension for
Approved Collection for Rule 2a-7 under the Investment Company Act of 1940 (OMB Control
No. 3235-0268) (approved May 28, 2019August 3, 2022) (the “2022 rule 2a-7 PRA extension”),
available at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202109-3235-024; the
2022 rule 2a-7 PRA extension is the most recent rule 2a-7 submission that includes certain
estimates with respect to aggregate annual hour and cost burdens for collections of information
for registered money market funds.
The cost burdens shown in this chart for professional personnel are based on SIFMA’s
Management & Professional Earnings in the Securities Industry 2013, modified for 2024 by the
Commission staff to account for an 1800-hour work –year and inflation, and multiplied by 5.35
to account for bonuses, firm size, employee benefits and overhead and the cost burdens for
clerical personnel are based on SIFMA's Office Salaries in the Securities Industry 2013,
modified for 2024 by Commission staff to account for an 1800-hour work-year and inflation, and
multiplied by 2.93 to account for bonuses, firm size, employee benefits and overhead; however,
SIFMA data does not include a board of directors; for board time, Commission staff currently
uses a cost of $5,672 per hour, which was last adjusted for inflation in December 2024; this
estimate assumes an average of nine board members per year.
The number of liquidity funds is based on the following: 68 x the percentage of liquidity funds
that are at least partially in compliance with the risk–limiting provisions of rule 2a-7, or 100 –
52) = 48%; the result (rounded up to a whole number) is 33 liquidity funds (68 * 0.48 = 33); the
Estimated Responses

Total

analyst or portfolio
manager) time per liquidity
fund x 33 liquidity funds

Estimated Internal Cost
Burden14
analyst) + $396 per hour
(senior portfolio
manager) = $672 ÷ 2 =
$336 median weighted
average per hour

680 x 33 funds =
22,440 estimated burden
hours

$336 x 22,440 hours =
$7,539,840 estimated
cost burden

Disclosure of Portfolio
Holdings Information

Disclosure of Portfolio
Holdings Information

Disclosure of Portfolio
Holdings Information

12 months x 33 liquidity
funds = 396 responses
per year

12 hours (one hour per
monthly filing) to update
the website to include the
disclosure of portfolio
holdings information x 33
liquidity funds = 396 hours
per year
+
24 hours of webmaster
time for an estimated 1
new liquidity fund16 each
year to initially develop a
webpage and provide
monthly disclosure for the
initial year = 24 one-time
burden hours
=

396 hours (for 33
liquidity funds) x $299
(per hour for a
webmaster) = $118,404
(for recurring internal
burden labor costs)

2,805 estimated
responses per liquidity
fund annually

Estimated Burden Hours

Fund’s website
disclosures including
portfolio holding
information, daily and
weekly liquid assets, net
shareholder flow, daily
current NAV, financial
support received by the
fund, the imposition and
removal of liquidity
fees, and the suspension
and resumption of fund
redemptions

+
24 hours for 1 new
liquidity fund x $299 (per
hour for a webmaster) =
$7,176
=

number of liquidity funds and percentage of funds that are at least partially compliant with the
risk-limiting provisions of rule 2a-7 is based on the U.S. Securities and Exchange Commission’s
Division of Investment Management – Analytics Office Private Funds Statistics, Third Calendar
Quarter 2023 (March 31, 2024) available at https://www.sec.gov/files/investment/2023q3private-funds-statistics-20240331-accessible.pdf.
The number of new unregistered money market funds is estimated from 2021-2023 historical
Form PF filings by liquidity fund advisers; see Securities and Exchange Commission’s Division
of Investment Management – Analytics Office Private Funds Statistics, Third Calendar Quarter
2023 (March 31, 2024) available at https://www.sec.gov/files/investment/2023q3-private-fundsstatistics-20240331-accessible.pdf.
Estimated Responses

Estimated Burden Hours
420 aggregate annual onetime and recurring burden
hours for the disclosure of
portfolio holdings

Disclosure of Daily and
Weekly Liquid Assets and
Net Shareholder Flow
252 business days x 33
liquidity funds = 8,316
responses per year

Disclosure of Daily and
Weekly Liquid Assets and
Net Shareholder Flow
36 hours ongoing annual
burden x 33 liquidity funds
= 1,188 hours per year
+
70 hours for each new
liquidity fund x 1 new fund
= 70 one-time hours
=
1,258 aggregate annual
recurring and one-time
burden hours for disclosure
of daily and weekly liquid
assets and shareholder flow

Estimated Internal Cost
Burden14
$125,580 total aggregate
annual one-time and
recurring labor burdens
for disclosure of portfolio
holdings
Disclosure of Daily and
Weekly Liquid Assets and
Net Shareholder Flow
[31.5 hours x $371
(blended rate for a senior
systems analyst ($342)
and senior programmer
($399) = $11,687 (per
liquidity fund)]
+
[4.5 hours x $406
(blended rate for
compliance manager
($372) and a compliance
attorney ($440)) =
$1,827]
=
$13,514 (per fund to
update the depiction of
daily and weekly liquid
assets and the liquidity
fund’s net inflow or
outflow on the liquidity
fund’s website each
business day during that
year) x 33 liquidity funds
=
$445,962 recurring
aggregate annual cost
burdens for the disclosure
of daily and weekly liquid
assets and weekly liquid
assets and the fund’s net
inflow or outflow on the
liquidity fund’s website
each business day during
the year
+
[(20 hours x $406
(blended rate for
compliance manager
($372) and a compliance
attorney ($440) = $8,120
+ 50 hours x $371
(blended rate for a senior
systems analyst ($342)
and senior programmer
($399)) = $18,550)] =
$26,670 (internal labor
cost burden for each new
fund)]
=

Estimated Responses

Disclosure of Daily
Current NAV
252 business days x 33
liquidity funds = 8,316
responses per year

Disclosure of Financial
Support Received by the
Fund, and Imposition and
Removal of Liquidity
Fees, and the Suspension
and Resumption of Fund
Redemptions

Estimated Burden Hours

Disclosure of Daily
Current NAV
[32 hours (sr. systems
analyst/sr. programmer) x
33 liquidity funds = 1,056
hours per year]
+
[70 one-time burden hours
for each new liquidity fund
x 1 new liquidity fund = 70
one-time burden hours]
=
1,126 aggregate annual
recurring and one-time
burden hours for disclosure
of daily current NAV

Disclosure of Financial
Support Received by the
Fund, and Imposition and
Removal of Liquidity Fees,
and the Suspension and
Resumption of Fund
Redemptions

Estimated Internal Cost
Burden14
$472,632 aggregate
annual recurring and onetime cost burdens for
disclosure of daily and
weekly liquid assets and
shareholder flow
Disclosure of Daily
Current NAV
32 hours x $371 (blended
rate for a senior systems
analyst ($342) and senior
programmer ($399) =
$11,872 (annual ongoing
internal labor cost burden
per fund) x 33 funds =
$391,776 ongoing annual
cost burdens
+
[(20 hours x $406
(blended rate for
compliance manager
($372) and a compliance
attorney ($440)) = $8,120
+ (50 hours x $371
(blended rate for a senior
systems analyst ($342)
and senior programmer
($399) = $18,550)] =
$26,670 (internal labor
cost burden for each new
fund)]
x 1 new fund = $26,670
(total one-time cost
burden)
=
$418,446 aggregate
annual recurring and onetime cost burdens
Disclosure of Financial
Support Received by the
Fund, and Imposition and
Removal of Liquidity
Fees, and the Suspension
and Resumption of Fund
Redemptions

Not applicable
Not applicable
Total Estimated Burden
Hours Relating to
Website Disclosure
396 + 8,316 + 8,316 =
TOTAL

16,928 estimated
responses

Not applicable
Total Estimated Burden
Hours Relating to Website
Disclosure
420 + 1,258 + 1,126 =
2,804 estimated burden
hours

Total Estimated Burden
Hours Relating to
Website Disclosure
$125,580 + $472,632 +
$418,446 =
$1,016,658 estimated
cost burden

Estimated Responses

Estimated Burden Hours

Estimated Internal Cost
Burden14

1 response annually for
each of 8 funds18

1 hour (board time) + 4
hours (compliance and
professional legal time) =
5 hours

1 hour x $5,672 (board
time) = $5,672
+
4 x $406 (blended rate for
compliance manager
($372) and a compliance
attorney ($440) = $1,624
=
$7,296 (cost per fund)

5 hours x 8 responses =
40 estimated burden
hours

$7,296 x 8 responses =
$58,368 estimated cost
burden

1 hour of board time + 5
hours of senior portfolio
manager time
+ 3 hours of risk
management specialist
time + 3 hours of
professional legal time =
12 hours

1 hour x $5,672 (board
time) = $5,672

Board review of
procedures and
guidelines of any
investment adviser or
officers to whom the
fund’s board has
delegated responsibility
under rule 2a-7 and
amendment of such
procedures and
guidelines17

TOTAL

8 estimated responses

Review, revise, and
approve written
procedures to stress test
a fund’s portfolio
1 response annually for
each of 33 fund
complexes19

5 x $396 (Sr. portfolio
manager) = $1,980
3 x $240 (risk
management specialist) =
$720
3 x $500 (attorney) =
$1,500

We recognize that in many cases the adviser to an unregistered money market fund typically
performs the function of the fund’s board; Money Market Fund Reform; Amendments to Form
PF Investment Company Act Rel. No. 31166 (Jul. 23, 2014), 79 FR 47735, 47809 (Aug. 14,
2014).
For purposes of this PRA extension, we assumed that on average 25% (33 funds x .25 =
approximately 8 funds) of liquidity funds would review and update their procedures on annual
basis.
This number has been derived from the number of advisers to liquidity funds; see U.S
Securities and Exchange Commission, Division of Investment Management, Analytics Office,
Private Fund Statistics, Third Quarter 2023 (March 31, 2024), Table 2.
Estimated Responses

TOTAL

Estimated Burden Hours

12 hours x 33 responses =

Estimated Internal Cost
Burden14
$5,672 + $1,980 + $720 +
$1,500 = $9,872 per
liquidity fund complex

33 estimated responses

396 estimated burden
hours

$9,872 x 33 responses =
$325,776 estimated cost
burden

5 responses annually for
each of 33 fund
complexes

5 hours senior portfolio
manager time + 2 hours
compliance manager time
+ 2 hours professional
legal time + 1 hour
paralegal time = 10 hours
per response

Reports to fund boards
on the results of stress
testing20
5 x $396 (sr. portfolio
manager) = $1,980
2 x $372 (compliance
manager) = $744
2 x $500 (attorney) =
$1,000
1 x $262 (paralegal) =
$262
$1,980 + $744 + $1,000 +
$262 = $3,986 per
response
$3,986 x 165 responses=
TOTAL

5 responses x 33 fund
complexes =
165 estimated responses

10 hours x 165 responses =
1,650 estimated burden
hours

$657,690estimated cost
burden

Not applicable

Not applicable

Not applicable

1 response annually for 1
new liquidity fund

3 hours board time + 8
hours professional legal
time + 7 hours risk
management specialist
time + 4 hours senior risk
management time = 22
hours

3 hours x $5,672 (board
time) = $17,016

Retail Funds Policies
and Procedures21
TOTAL
Establishment of
written procedures to
test periodically the
ability of the fund to
maintain a stable NAV
per share based on
certain hypothetical
events (“stress testing”)

8 hours x $500 (attorney)
= $4,000
7 hours x $240 (risk
management specialist) =
$1,680

See supra note 25.

There are no liquidity funds of this type; liquidity funds only are offered to qualified investors.

Estimated Responses

Estimated Burden Hours

Estimated Internal Cost
Burden14
4 hours x $430 (sr. risk
management specialist) =
$1,720
$17,016 + $4,000 +
$1,680 + $1,720 =
$24,416 (per response)

TOTAL

1 estimated response

22 hours x 1 response =
22 estimated burden
hours

$24,416 x 1 response =
$24,416 estimated cost
burden

0.5 hours board time + 7.2
hours professional legal
time + 7.8 hours paralegal
time = 15.5 hours

0.5 hours x $5,672 (board
time) = $2,836

Establishment of
written procedures
designed to stabilize
NAV and guidelines and
procedures for board
delegation of authority22
1 response annually for 1
new liquidity fund

7.2 hours x $500
(attorney) = $3,600
7.8 hours x $262
(paralegal) = $2,044
$2,836 + $3,600 +
$2,044 = $8,480 (per
response)

TOTAL

1 estimated response

15.5 hours x 1 response
15.5 estimated burden
hours

$8,480 x 1 response =
$8,480 estimated cost
burden

4 hours attorney + 2 hours
of board time + 1 hours of
fund’s compliance attorney
= 7 hours per liquidity
fund

4 hours x $500 (attorney)
= $2,000

Board determination –
Fees and Gates23
2 liquidity funds per year

2 hours x $5,672 ( board
time) = $11,344
1 x $440 (compliance
attorney) = $440
$2,000 + $11,344 + $440
= $13,784 per liquidity
fund

TOTAL

See supra note 25.

Id.

2 estimated responses

7 hours x 2 funds =
14 estimated hours
burden

$13,784 x 2 funds =
$27,568 estimated costs
burden

Estimated Responses

Estimated Burden Hours

Estimated Internal Cost
Burden14

2 responses annually for
2 liquidity funds25

.5 hours (professional legal
time)

.5 hours x $500 (attorney)
= $250

Total

4 estimated responses

.5 hours x 4 responses
2 estimated burden hours

$250 x 4 responses =
$1,000 estimated cost
burden

TOTAL ESTIMATED
BURDEN OF
INFORMATION
COLLECTION FOR
RULE 12d1-1

19,947 estimated
responses annually

27,384 estimated burden
hours annually

$9,659,796estimated
cost burden annually

Written record of board
determinations and
actions related to failure
of a security to meet
certain eligibility
standards or an event of
default or insolvency24

Commission staff estimates that in addition to the internal costs described in the table
above, unregistered money market funds also will incur external costs to preserve records, as
required under rule 2a-7. These costs will vary significantly for individual funds, depending on
the amount of assets under fund management and whether the fund preserves its records in a
storage facility in hard copy or has developed and maintains a computer system to create and
preserve compliance records. In the 2022 rule 2a-7 PRA extension, Commission staff estimated
that the amount an individual money market fund may spend ranges from $100 per year to
$300,000. We have no reason to believe the range is different for unregistered money market
funds. Based on Form PF data as of the third calendar quarter 2023, liquidity funds have $361

Id.

In the context of registered money market funds, we have previously estimated an average of
approximately 2 occurrences for 20 funds each year; however, this number may vary
significantly in any particular year; for purposes of this PRA extension, we assumed there would
be same proportion of unregistered money market funds experiencing events of default or
solvency each year. (20/320 registered money market funds = approximately 5%. 5% x 33
liquidity funds = approximately 2 liquidity funds)
billion in gross asset value.26 The Commission does not have specific information about the
proportion of assets held in small, medium-sized, or large unregistered money market funds.
Because liquidity funds are often used as cash management vehicles, the staff estimates that each
private liquidity fund is a “large” fund (i.e., more than $1 billion in assets under management).
Based on a cost of $0.0000009 per dollar of assets under management (for large funds),27 the
staff estimates compliance with the record storage requirements of rule 2a-7 for these
unregistered money market funds costs approximately $324,900 annually.28
Consistent with estimates made in the rule 2a-7 submission, Commission staff estimates
that unregistered money market funds also incur capital costs to create computer programs for
maintaining and preserving compliance records for rule 2a-7 of $0.0000132 per dollar of assets
under management. Based on the assets under management figures described above, staff
estimates annual capital costs for all unregistered money market funds of $4.76 million.29
Commission staff further estimates that, even absent the requirements of rule 2a-7,
money market funds would spend at least half of the amounts described above for record
preservation ($162,450) and for capital costs ($2.38 million). Commission staff concludes that
the aggregate annual external costs of compliance with the rule are $162,450 for record
preservation and $2.38 million for capital costs, or a total of $2.54 million.
The collections of information required for unregistered money market funds by rule
12d1-1 are necessary in order for acquiring funds to be able to obtain the benefits described

See U.S Securities and Exchange Commission, Division of Investment Management, Analytics
Office, Private Fund Statistics, Fourth Quarter 2019 (Oct. 2, 2020), Table 3.
The recordkeeping cost estimates are $0.0051295 per dollar of assets under management for
small funds, and $0.0005041 per dollar of assets under management for medium-sized funds;
the cost estimates are the same as those used in the most recently approved rule 2a-7 submission.
This estimate is based on the following calculation: ($294 billion x $0.0000009) = $264,600
for large funds.
29

This estimate is based on the following calculation: ($294 billion x 0.0000132) = $3.88
million.

above. Notices to the Commission 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.
Written comments are invited on: (a) whether the proposed collection of information is
necessary for the proper performance of the functions of the Commission, including whether the
information shall have practical utility; (b) the accuracy of the Commission's estimate of the
burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the
information collected; and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection techniques or other forms of
information technology. Consideration will be given to comments and suggestions submitted by
[INSERT DATE 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL
REGISTER].
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information under the PRA unless it displays a currently valid OMB control
number.
Please direct your written comments to: David Bottom, Chief Information Officer,
Securities and Exchange Commission, c/o John Pezzullo, 100 F Street, NE Washington, DC
20549 or send an e-mail to: PRA_Mailbox@sec.gov.
Dated: June 26, 2024.
Sherry R. Haywood,
Assistant Secretary.

[FR Doc. 2024-14441 Filed: 6/28/2024 8:45 am; Publication Date: 7/1/2024]