Notice2026-04221
Agency Information Collection Activities; Submission for OMB Review; 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
March 4, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 42 (Wednesday, March 4, 2026)</title>
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[Federal Register Volume 91, Number 42 (Wednesday, March 4, 2026)]
[Notices]
[Page 10655]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-04221]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0247]
Agency Information Collection Activities; Submission for OMB
Review; 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 (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') this request for extension of the previously
approved collection of information discussed below.
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. This
figure is based on an hourly rate figure of $580/hour. Estimates of the
burden hours are made solely for the purposes of the PRA and are not
derived from a 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 control number.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202512-3235-016">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202512-3235-016</a> or email comment to
<a href="/cdn-cgi/l/email-protection#fbb6b9a3d5b4b6b9d5b4b2a9bad5a8beb8a49f9e8890a4949d9d92989e89bb949699d59e948bd59c948d"><span class="__cf_email__" data-cfemail="6a27283244252728442523382b44392f29350e0f190135050c0c03090f182a050708440f051a440d051c">[email protected]</span></a> within 30 days of the day
after publication of this notice, by April 6, 2026.
Dated: February 27, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-04221 Filed 3-3-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on March 4, 2026.
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