17 CFR § 200.800
OMB control numbers assigned pursuant to the Paperwork Reduction Act
April 15, 2021
(a) Purpose: This subpart collects and displays the control numbers assigned to information collection requirements of the Commission by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980, 44 U.S.C. 3500 et seq. This subpart displays current OMB control numbers for those information collection requirements of the Commission that are rules and regulations and codified in 17 CFR either in full text or incorporated by reference with the approval of the Director of the Office of the Federal Register.
(b) Display.
Open Table
| Information collection requirement | 17 CFR part or section where identified and described | Current OMB control No. |
|---|---|---|
| Regulation S-X | Part 210 | 3235-0009 |
| Regulation S-B | Part 228 | 3235-0417 |
| Regulation S-K | Part 229 | 3235-0071 |
| Rule 154 | 230.154 | 3235-0495 |
| Rule 155 | 230.155 | 3235-0549 |
| Rule 236 | 230.236 | 3235-0095 |
| Rule 237 | 230.237 | 3235-0528 |
| Regulation A | 230.251 thru 230.263 | 3235-0286 |
| Regulation C | 230.400 thru 230.494 | 3235-0074 |
| Rule 425 | 230.425 | 3235-0521 |
| Rule 477 | 230.477 | 3235-0550 |
| Rule 489 | 230.489 | 3235-0411 |
| Rule 498 | 230.498 | 3235-0488 |
| Rule 498A | 230.498A | 3235-0765 |
| Regulation D | 230.500 thru 230.508 | 3235-0076 |
| Regulation E | 230.601 thru 230.610a | 3235-0232 |
| Rule 604 | 230.604 | 3235-0232 |
| Rule 605 | 230.605 | 3235-0232 |
| Rule 609 | 230.609 | 3235-0233 |
| Rule 701 | 230.701 | 3235-0522 |
| Regulation S | 230.901 thru 230.905 | 3235-0357 |
| Regulation S-T | Part 232 | 3235-0424 |
| Form SB-1 | 239.9 | 3235-0423 |
| Form SB-2 | 239.10 | 3235-0418 |
| Form S-1 | 239.11 | 3235-0065 |
| Form S-2 | 239.12 | 3235-0072 |
| Form S-3 | 239.13 | 3235-0073 |
| Form N-2 | 239.14 | 3235-0026 |
| Form N-1A | 239.15A | 3235-0307 |
| Form S-6 | 239.16 | 3235-0184 |
| Form S-8 | 239.16b | 3235-0066 |
| Form N-3 | 239.17a | 3235-0316 |
| Form N-4 | 239.17b | 3235-0318 |
| Form S-11 | 239.18 | 3235-0067 |
| Form N-14 | 239.23 | 3235-0336 |
| Form N-5 | 239.24 | 3235-0169 |
| Form S-4 | 239.25 | 3235-0324 |
| Form F-1 | 239.31 | 3235-0258 |
| Form F-2 | 239.32 | 3235-0257 |
| Form F-3 | 239.33 | 3235-0256 |
| Form F-4 | 239.34 | 3235-0325 |
| Form F-6 | 239.36 | 3235-0292 |
| Form F-7 | 239.37 | 3235-0383 |
| Form F-8 | 239.38 | 3235-0378 |
| Form F-10 | 239.40 | 3235-0380 |
| Form F-80 | 239.41 | 3235-0404 |
| Form F-X | 239.42 | 3235-0379 |
| Form F-N | 239.43 | 3235-0411 |
| Form ID | 239.63 | 3235-0328 |
| Form SE | 239.64 | 3235-0327 |
| Form TH | 239.65 | 3235-0425 |
| Form 1-A | 239.90 | 3235-0286 |
| Form 2-A | 239.91 | 3235-0286 |
| Form 144 | 239.144 | 3235-0101 |
| Form 1-E | 239.200 | 3235-0232 |
| Form CB | 239.800 | 3235-0518 |
| Rule 6a-1 | 240.6a-1 | 3235-0017 |
| Rule 6a-3 | 240.6a-3 | 3235-0021 |
| Rule 6a-4 | 240.6a-4 | 3235-0554 |
| Rule 6h-1 | 240.6h-1 | 3235-0555 |
| Rule 8c-1 | 240.8c-1 | 3235-0514 |
| Rule 9b-1 | 240.9b-1 | 3235-0480 |
| Rule 10a-1 | 240.10a-1 | 3235-0475 |
| Rule 10b-10 | 240.10b-10 | 3235-0444 |
| Rule 10b-17 | 240.10b-17 | 3235-0476 |
| Rule 10b-18 | 240.10b-18 | 3235-0474 |
| Rule 10A-1 | 240.10A-1 | 3235-0468 |
| Rule 11a1-1(T) | 240.11a1-1(T) | 3235-0478 |
| Rule 12a-5 | 240.12a-5 | 3235-0079 |
| Regulation 12B | 240.12b-1 thru 240.12b-36 | 3235-0062 |
| Rule 12d1-3 | 240.12d1-3 | 3235-0109 |
| Rule 12d2-1 | 240.12d2-1 | 3235-0081 |
| Rule 12d2-2 | 240.12d2-2 | 3235-0080 |
| Rule 12f-1 | 240.12f-1 | 3235-0128 |
| Rule 13a-16 | 240.13a-16 | 3235-0116 |
| Regulation 13D/G | 240.13d-1 thru 240.13d-7 | 3235-0145 |
| Schedule 13D | 240.13d-101 | 3235-0145 |
| Schedule 13G | 240.13d-102 | 3235-0145 |
| Rule 13e-1 | 240.13e-1 | 3235-0305 |
| Rule 13e-3 | 240.13e-3 | 3235-0007 |
| Schedule 13E-3 | 240.13e-100 | 3235-0007 |
| Schedule 13e-4F | 240.13e-101 | 3235-0375 |
| Regulation 14A | 240.14a-1 thru 240.14a-12 | 3235-0059 |
| Schedule 14A | 240.14a-101 | 3235-0059 |
| Regulation 14C | 240.14c-1 | 3235-0057 |
| Schedule 14C | 240.14c-101 | 3235-0057 |
| Regulation 14D | 240.14d-1 thru 240.14d-9 | 3235-0102 |
| Schedule TO | 240.14d-100 | 3235-0515 |
| Schedule 14D-1 | 240.14d-101 | 3235-0102 |
| Schedule 14D-9 | 240.14d-101 | 3235-0102 |
| Schedule 14D-1F | 240.14d-102 | 3235-0376 |
| Schedule 14D-9F | 240.14d-103 | 3235-0382 |
| Regulation 14E | 240.14e-1 thru 240.14e-2 | 3235-0102 |
| Rule 14f-1 | 240.14f-1 | 3235-0108 |
| Rule 15a-4 | 240.15a-4 | 3235-0010 |
| Rule 15a-6 | 240.15a-6 | 3235-0371 |
| Rule 15b1-1 | 240.15b1-1 | 3235-0012 |
| Rule 15b6-1(a) | 240.15b6-1(a) | 3235-0018 |
| Rule 15c1-5 | 240.15c1-5 | 3235-0471 |
| Rule 15c1-6 | 240.15c1-6 | 3235-0472 |
| Rule 15c1-7 | 240.15c1-7 | 3235-0134 |
| Rule 15c2-1 | 240.15c2-1 | 3235-0485 |
| Rule 15c2-5 | 240.15c2-5 | 3235-0198 |
| Rule 15c2-7 | 240.15c2-7 | 3235-0479 |
| Rule 15c2-8 | 240.15c2-8 | 3235-0481 |
| Rule 15c2-11 | 240.15c2-11 | 3235-0202 |
| Rule 15c2-12 | 240.15c2-12 | 3235-0372 |
| Rule 15c3-1 | 240.15c3-1 | 3235-0200 |
| Rule 15c3-1(c)(13) | 240.15c3-1(c)(13) | 3235-0499 |
| Appendix F to Rule 15c3-1 | 240.15c3-1f | 3235-0496 |
| Rule 15c3-3 | 240.15c3-3 | 3235-0078 |
| Rule 15c3-4 | 240.15c3-4 | 3235-0497 |
| Rule 15d-16 | 240.15d-16 | 3235-0116 |
| Rule 15g-2 | 240.15g-2 | 3235-0434 |
| Rule 15g-3 | 240.15g-3 | 3235-0392 |
| Rule 15g-4 | 240.15g-4 | 3235-0393 |
| Rule 15g-5 | 240.15g-5 | 3235-0394 |
| Rule 15g-6 | 240.15g-6 | 3235-0395 |
| Rule 15g-9 | 240.15g-9 | 3235-0385 |
| Rule 15Aj-1 | 240.15Aj-1 | 3235-0044 |
| Rule 15Ba2-1 | 240.15Ba2-1 | 3235-0083 |
| Rule 15Ba2-5 | 240.15Ba2-5 | 3235-0088 |
| Rule 15Bc3-1 | 240.15Bc3-1 | 3235-0087 |
| Rule 17a-1 | 240.17a-1 | 3235-0208 |
| Rule 17a-2 | 240.17a-2 | 3235-0201 |
| Rule 17a-3 | 240.17a-3 | 3235-0033 |
| Rule 17a-3(a)(16) | 240.17a-3(a)(16) | 3235-0508 |
| Rule 17a-4 | 240.17a-4 | 3235-0279 |
| Rule 17a-4(b)(10) | 240.17a-4(b)(10) | 3235-0506 |
| Rule 17a-5 | 240.17a-5 | 3235-0123 |
| Rule 17a-5(c) | 240.17a-5(c) | 3235-0199 |
| Rule 17a-6 | 240.17a-6 | 3235-0489 |
| Rule 17a-7 | 240.17a-7 | 3235-0131 |
| Rule 17a-8 | 240.17a-8 | 3235-0092 |
| Rule 17a-9T | 240.17a-9T | 3235-0524 |
| Rule 17a-10 | 240.17a-10 | 3235-0122 |
| Rule 17a-11 | 240.17a-11 | 3235-0085 |
| Rule 17a-12 | 240.17a-12 | 3235-0498 |
| Rule 17a-13 | 240.17a-13 | 3235-0035 |
| Rule 17a-19 | 240.17a-19 | 3235-0133 |
| Rule 17a-22 | 240.17a-22 | 3235-0196 |
| Rule 17a-25 | 240.17a-25 | 3235-0540 |
| Rule 17f-1(b) | 240.17f-1(b) | 3235-0032 |
| Rule 17f-1(c) | 240.17f-1(c) | 3235-0037 |
| Rule 17f-1(g) | 240.17f-1(g) | 3235-0290 |
| Rule 17f-2(a) | 240.17f-2(a) | 3235-0034 |
| Rule 17f-2(c) | 240.17f-2(c) | 3235-0029 |
| Rule 17f-2(d) | 240.17f-2(d) | 3235-0028 |
| Rule 17f-2(e) | 240.17f-2(e) | 3235-0031 |
| Rule 17f-5 | 240.17f-5 | 3235-0269 |
| Rule 17h-1T | 240.17h-1T | 3235-0410 |
| Rule 17h-2T | 240.17h-2T | 3235-0410 |
| Rule 17Ab2-1 | 240.17Ab2-1(a) | 3235-0195 |
| Rule 17Ac2-1 | 240.17Ac2-1 | 3235-0084 |
| Rule 17Ad-2(c), (d), and (h) | 240.17Ad-2(c), (d) and (h) | 3235-0130 |
| Rule 17Ad-3(b) | 240.17Ad-3(b) | 3235-0473 |
| Rule 17Ad-4(b) and (c) | 240.17Ad-4(b) and (c) | 3235-0341 |
| Rule 17Ad-6 | 240.17Ad-6 | 3235-0291 |
| Rule 17Ad-7 | 240.17Ad-7 | 3235-0291 |
| Rule 17Ad-10 | 240.17Ad-10 | 3235-0273 |
| Rule 17Ad-11 | 240.17Ad-11 | 3235-0274 |
| Rule 17Ad-13 | 240.17Ad-13 | 3235-0275 |
| Rule 17Ad-15 | 240.17Ad-15 | 3235-0409 |
| Rule 17Ad-16 | 240.17Ad-16 | 3235-0413 |
| Rule 17Ad-17 | 240.17Ad-17 | 3235-0469 |
| Rule 19b-1 | 240.19b-1 | 3235-0354 |
| Rule 19b-4 | 240.19b-4 | 3235-0045 |
| Rule 19b-4(e) | 240.19b-4(e) | 3235-0504 |
| Rule 19b-5 | 240.19b-5 | 3235-0507 |
| Rule 19b-7 | 240.19b-7 | 3235-0553 |
| Rule 19d-1 | 240.19d-1(b) thru 240.19d-1(i) | 3235-0206 |
| Rule 19d-2 | 240.19d-2 | 3235-0205 |
| Rule 19d-3 | 240.19d-3 | 3235-0204 |
| Rule 19h-1 | 240.19h-1(a), (c) thru (e), and (g) | 3235-0259 |
| Rule 24b-1 | 240.24b-1 | 3235-0194 |
| Rule 101 | 242.101 | 3235-0464 |
| Rule 102 | 242.102 | 3235-0467 |
| Rule 103 | 242.103 | 3235-0466 |
| Rule 104 | 242.104 | 3235-0465 |
| Rule 301 | 242.301 | 3235-0509 |
| Rule 302 | 242.302 | 3235-0510 |
| Rule 303 | 242.303 | 3235-0505 |
| Rule 604 | 242.604 | 3235-0462 |
| Rule 605 | 242.605 | 3235-0542 |
| Rule 606 | 242.606 | 3235-0541 |
| Rule 607 | 242.607 | 3235-0435 |
| Rule 608 | 242.608 | 3235-0500 |
| Rule 609 | 242.609 | 3235-0043 |
| Rule 611 | 242.611 | 3235-0600 |
| Regulation S-P | Part 248 | 3235-0537 |
| Form 1 | 249.1 | 3235-0017 |
| Form 1-N | 249.10 | 3235-0554 |
| Form 25 | 249.25 | 3235-0080 |
| Form 26 | 249.26 | 3235-0079 |
| Form 3 | 249.103 | 3235-0104 |
| Form 4 | 249.104 | 3235-0287 |
| Form 5 | 249.105 | 3235-0362 |
| Form 8-A | 249.208a | 3235-0056 |
| Form 10 | 249.210 | 3235-0064 |
| Form 10-SB | 249.210b | 3235-0419 |
| Form 18 | 249.218 | 3235-0121 |
| Form 20-F | 249.220f | 3235-0288 |
| Form 40-F | 249.240f | 3235-0381 |
| Form 6-K | 249.306 | 3235-0116 |
| Form 8-K | 249.308 | 3235-0060 |
| Form 10-Q | 249.308a | 3235-0070 |
| Form 10-QSB | 249.308b | 3235-0416 |
| Form 10-K | 249.310 | 3235-0063 |
| Form 10-KSB | 249.310b | 3235-0420 |
| Form 11-K | 249.311 | 3235-0082 |
| Form 18-K | 249.318 | 3235-0120 |
| Form 12B-25 | 249.322 | 3235-0058 |
| Form 15 | 249.323 | 3235-0167 |
| Form 13F | 249.325 | 3235-0006 |
| Form SE | 249.444 | 3235-0327 |
| Form ID | 249.446 | 3235-0328 |
| Form DF | 249.448 | 3235-0482 |
| Form BD | 249.501 | 3235-0012 |
| Form BDW | 249.501a | 3235-0018 |
| Form BD-N | 249.501b | 3235-0556 |
| Form X-17A-5 | 249.617 | 3235-0123 |
| Form X-17A-19 | 249.635 | 3235-0133 |
| Form ATS | 249.637 | 3235-0509 |
| Form ATS-R | 249.638 | 3235-0509 |
| Form CRS | 249.640 | 3235-0766 |
| Form X-15AJ-1 | 249.802 | 3235-0044 |
| Form X-15AJ-2 | 249.803 | 3235-0044 |
| Form 19b-4 | 249.819 | 3235-0045 |
| Form 19b-4(e) | 249.820 | 3235-0504 |
| Form Pilot | 249.821 | 3235-0507 |
| Form SIP | 249.1001 | 3235-0043 |
| Form MSD | 249.1100 | 3235-0083 |
| Form MSDW | 249.1110 | 3235-0087 |
| Form X-17F-1A | 249.1200 | 3235-0037 |
| Form TA-1 | 249b.100 | 3235-0084 |
| Form TA-W | 249b.101 | 3235-0151 |
| Form TA-2 | 249b.102 | 3235-0337 |
| Form CA-1 | 249b.200 | 3235-0195 |
| Rule 7a-15 thru 7a-37 | 260.7a-15 thru 260.7a-37 | 3235-0132 |
| Form T-1 | 269.1 | 3235-0110 |
| Form T-2 | 269.2 | 3235-0111 |
| Form T-3 | 269.3 | 3235-0105 |
| Form T-4 | 269.4 | 3235-0107 |
| Form ID | 269.7 | 3235-0328 |
| Form SE | 269.8 | 3235-0327 |
| Form T-6 | 269.9 | 3235-0391 |
| Rule 0-1 | 270.0-1 | 3235-0531 |
| Rule 2a-7 | 270.2a-7 | 3235-0268 |
| Rule 2a19-1 | 270.2a19-1 | 3235-0332 |
| Rule 3a-4 | 270.3a-4 | 3235-0459 |
| Rule 6c-7 | 270.6c-7 | 3235-0276 |
| Rule 6e-2 | 270.6e-2 | 3235-0177 |
| Rule 7d-1 | 270.7d-1 | 3235-0311 |
| Rule 7d-2 | 270.7d-2 | 3235-0527 |
| Section 8(b) of the Investment Company Act of 1940 | 270.8b-1 thru 270.8b-32 | 3235-0176 |
| Rule 10f-3 | 270.10f-3 | 3235-0226 |
| Rule 11a-2 | 270.11a-2 | 3235-0272 |
| Rule 11a-3 | 270.11a-3 | 3235-0358 |
| Rule 12b-1 | 270.12b-1 | 3235-0212 |
| Rule 17a-7 | 270.17a-7 | 3235-0214 |
| Rule 17a-8 | 270.17a-8 | 3235-0235 |
| Rule 17e-1 | 270.17e-1 | 3235-0217 |
| Rule 17f-1 | 270.17f-1 | 3235-0222 |
| Rule 17f-2 | 270.17f-2 | 3235-0223 |
| Rule 17f-4 | 270.17f-4 | 3235-0225 |
| Rule 17f-6 | 270.17f-6 | 3235-0447 |
| Rule 17f-7 | 270.17f-7 | 3235-0529 |
| Rule 17g-1(g) | 270.17g-1(g) | 3235-0213 |
| Rule 17j-1 | 270.17j-1 | 3235-0224 |
| Rule 18f-1 | 270.18f-1 | 3235-0211 |
| Rule 18f-3 | 270.18f-3 | 3235-0441 |
| Rule 19a-1 | 270.19a-1 | 3235-0216 |
| Rule 20a-1 | 270.20a-1 | 3235-0158 |
| Rule 22d-1 | 270.22d-1 | 3235-0310 |
| Rule 23c-1 | 270.23c-1 | 3235-0260 |
| Rule 23c-3 | 270.23c-3 | 3235-0422 |
| Rule 27e-1 | 270.27e-1 | 3235-0545 |
| Rule 30b2-1 | 270.30b2-1 | 3235-0220 |
| Rule 30d-2 | 270.30d-2 | 3235-0494 |
| Rule 30e-1 | 270.30e-1 | 3235-0025 |
| Rule 30e-3 | 270.30e-3 | 3235-0758 |
| Rule 31a-1 | 270.31a-1 | 3235-0178 |
| Rule 31a-2 | 270.31a-2 | 3235-0179 |
| Rule 32a-4 | 270.32a-4 | 3235-0530 |
| Rule 34b-1 | 270.34b-1 | 3235-0346 |
| Rule 35d-1 | 270.35d-1 | 3235-0548 |
| Form N-5 | 274.5 | 3235-0169 |
| Form N-8A | 274.10 | 3235-0175 |
| Form N-2 | 274.11a-1 | 3235-0026 |
| Form N-3 | 274.11b | 3235-0316 |
| Form N-4 | 274.11c | 3235-0318 |
| Form N-8B-2 | 274.12 | 3235-0186 |
| Form N-6F | 274.15 | 3235-0238 |
| Form 24F-2 | 274.24 | 3235-0456 |
| Form N-18F-1 | 274.51 | 3235-0211 |
| Form N-54A | 274.53 | 3235-0237 |
| Form N-54C | 274.54 | 3235-0236 |
| Form N-CEN | 274.101 | 3235-0729 |
| Form N-27E-1 | 274.127e-1 | 3235-0545 |
| Form N-27F-1 | 274.127f-1 | 3235-0546 |
| Form N-PORT | 274.150 | 3235-0730 |
| Form N-17D-1 | 274.200 | 3235-0229 |
| Form N-23C-1 | 274.201 | 3235-0230 |
| Form N-8F | 274.218 | 3235-0157 |
| Form N-17F-1 | 274.219 | 3235-0359 |
| Form N-17F-2 | 274.220 | 3235-0360 |
| Form N-23c-3 | 274.221 | 3235-0422 |
| Form ID | 274.402 | 3235-0328 |
| Form SE | 274.403 | 3235-0327 |
| Rule 0-2 | 275.0-2 | 3235-0240 |
| Rule 203-3 | 275.203-3 | 3235-0538 |
| Rule 204-2 | 275.204-2 | 3235-0278 |
| Rule 204-3 | 275.204-3 | 3235-0047 |
| Rule 206(3)-2 | 275.206(3)-2 | 3235-0243 |
| Rule 206(4)-2 | 275.206(4)-2 | 3235-0241 |
| Rule 206(4)-3 | 275.206(4)-3 | 3235-0242 |
| Rule 206(4)-4 | 275.206(4)-4 | 3235-0345 |
| Form ADV | 279.1 | 3235-0049 |
| Schedule I to Form ADV | 279.1 | 3235-0490 |
| Form ADV-W | 279.2 | 3235-0313 |
| Form ADV-H | 379.3 | 3235-0538 |
| Form 4-R | 279.4 | 3235-0240 |
| Form 5-R | 279.5 | 3235-0240 |
| Form 6-R | 279.6 | 3235-0240 |
| Form 7-R | 279.7 | 3235-0240 |
| Form ADV-E | 279.8 | 3235-0361 |
[67 FR 14634, Mar. 27, 2002, as amended at 70 FR 37611, June 29, 2005; 76 FR 46616, Aug. 3, 2011; 77 FR 18684, Mar. 28, 2012; 80 FR 6902, Feb. 9, 2015; 82 FR 82009, Nov. 18, 2016; 83 FR 29203, June 22, 2018; 84 FR 33629, July 12, 2019; 85 FR 26092, May 1, 2020]
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