Submission for OMB Review; Comment Request

Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Extension: Rule 31a-2, SEC File No. 270-174, OMB Control No. 3235-0179; Rule 32a-4, SEC File No. 270-473, OMB Control No. 3235-0530] Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 ( 44 U.S.C. 3501-3520 ), the Securities and Exchange Commission (“Commission”) has submitted to the Office of Management and Budget (“OMB”) a request for extension of the previously approved collections of information discussed below. Section 31(a)(1) of the Investment Company Act of 1940 (the “Act”) requires registered investment companies (“funds”) and certain principal underwriters, broker-dealers, investment advisers and depositors of funds to maintain and preserve records as prescribed by Commission rules. [ 1 ] Rule 31a-1 specifies the books and records each of these entities must maintain. [ 2 ] Rule 31a-2, which was adopted on April 17, 1944, specifies the time periods that entities must retain books and records required to be maintained under rule 31a-1. [ 3 ] Rule 31a-2 requires the following: 1. Every fund must preserve permanently, and in an easily accessible place for the first two years, all books and records required under rule 31a-1(b)(1)-(4). [ 4 ] 2. Every fund must preserve for at least six years, and in an easily accessible place for the first two years: (a) all books and records required under rule 31a-1(b)(5)-(12); [ 5 ] (b) all vouchers, memoranda, correspondence, …