Notice2025-22951
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-4
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
December 16, 2025
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 90 Issue 239 (Tuesday, December 16, 2025)</title>
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[Federal Register Volume 90, Number 239 (Tuesday, December 16, 2025)]
[Notices]
[Pages 58348-58349]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2025-22951]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0247]
Agency Information Collection Activities; Proposed Collection;
Comment Request; Extension: Form N-8B-4
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 (SEC or ``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.
Form N-8B-4 (17 CFR 274.14) is the form used by face-amount
certificate companies to comply with the filing and disclosure
requirements imposed by Section 8(b) of the Investment Company Act of
1940 (15 U.S.C. 80a-8(b)). Among other items, Form N-8B-4 requires
disclosure of the following information about the face-amount
certificate company: date and form of organization; controlling
persons; current business and contemplated changes to the company's
business; investment, borrowing, and lending policies, as well as other
fundamental policies; securities issued by the company; investment
adviser; depositaries; management personnel; compensation paid to
directors, officers, and certain employees; and financial statements.
The Commission uses the information provided in the collection of
information to determine compliance with Section 8(b) of the Investment
Company Act of 1940.
Each registrant files Form N-8B-4 for its initial filing and does
not file post-effective- amendments to Form N-8B-4.\1\ There are
currently only two existing face-amount certificate companies, and only
one face-amount certificate company has filed a Form N-8B-4 since the
last OMB information collection approval for this form. Prior to that
filing, no face-amount certificate company had filed a Form N-8B-4 in
the last ten years. Based on the foregoing, for purposes of estimating
the average burden hours and cost of this information collection,
Commission staff estimates that one respondent will file Form N-8B-4
each year.
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\1\ Pursuant to Section 30(b)(1) of the Act (15 U.S.C. 80a-29),
each respondent keeps its registration statement current through the
filing of periodic reports as required by Section 13 of the
Securities Exchange Act of 1934 (15 U.S.C. 78m) and the rules
thereunder; post-effective amendments are filed with the Commission
on the face-amount certificate company's Form S-1; hence,
respondents only file Form N-8B-4 for their initial registration
statement and not for post-effective amendments.
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Based on our experience with Form N-8B-4 and disclosure documents
in general, we estimate the burden hours for preparing and filing
registration statements on Form N-8B-4 is approximately 10 hours per
respondent. The number of burden hours may vary depending on, among
other things, the complexity of the filing and whether preparation of
the registration statement is performed internally or by outside
counsel. Based on the foregoing, the Commission staff estimates the
total annual burden for this form to be 10 hours (10 burden hours per
respondent x 1 respondent x 1 response = 10 total annual burden hours).
The total estimated annual cost of the burden hours is $5,800.
Estimates of the burden hours are made solely for the purposes of the
PRA and are not derived from a
[[Page 58349]]
comprehensive or even a representative survey or study of the costs of
SEC rules and forms.
The information provided on Form N-8B-4 is mandatory. The
information provided on Form N-8B-4 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 OMB 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.
Please direct your written comments on this 60-Day Collection
Notice to Austin Gerig, Director/Chief Data Officer, Securities and
Exchange Commission, c/o Tanya Ruttenberg via email to
<a href="/cdn-cgi/l/email-protection#96c6f7e6f3e4e1f9e4fdc4f3f2e3f5e2fff9f8d7f5e2d6e5f3f5b8f1f9e0"><span class="__cf_email__" data-cfemail="590938293c2b2e362b320b3c3d2c3a2d303637183a2d192a3c3a773e362f">[email protected]</span></a> by February 17, 2026. There will be a
second opportunity to comment on this SEC request following the Federal
Register publishing a 30-Day Submission Notice.
Dated: December 12, 2025.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2025-22951 Filed 12-15-25; 8:45 am]
BILLING CODE 8011-01-P
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