Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications

• Citation: 91 FR 33251
• Published date: 03 June 2026
• FR Document: 2026-11132
• Pages: 33251-33251
• Section: Notices
• Issuer: Securities and Exchange Commission

33251

Federal Register / Vol. 91, No. 106 / Wednesday, June 3, 2026 / Notices

18

17 CFR 200.30–3(a)(12), (59).

1

15 U.S.C. 80a–1 et seq.

2

15 U.S.C. 80a–6(c).

3

17 CFR 270.0–2.

4

This estimate is based on the annual average of

the number of total exemptive applications for the

three year period ended December 2025 (1,251

applications/3 = 417), of which approximately

2

⁄

3

are amendments (417 × (

2

⁄

3

) = 139 new exemptive

applications).

post all comments on the Commission’s

internet website (https://www.sec.gov/

rules/sro.shtml). Copies of the filing will

be available for inspection and copying

at the principal office of the Exchange.

Do not include personal identifiable

information in submissions; you should

submit only information that you wish

to make available publicly. We may

redact in part or withhold entirely from

publication submitted material that is

obscene or subject to copyright

protection. All submissions should refer

to file number SR–CboeBZX–2026–043

and should be submitted on or before

June 24, 2026.

For the Commission, by the Division of

Trading and Markets, pursuant to delegated

authority.

18

Sherry R. Haywood,

Assistant Secretary.

[FR Doc. 2026–11032 Filed 6–2–26; 8:45 am]

BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE

COMMISSION

[OMB Control No. 3235–0636]

Agency Information Collection

Activities; Proposed Collection;

Comment Request; Extension: Rule 0–

2 Under the Investment Company Act

of 1940, General Requirements of

Papers and Applications

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 proposed collection of

information.

Several sections of the Investment

Company Act of 1940 (‘‘Act’’ or

‘‘Investment Company Act’’)

1

give the

Securities and Exchange Commission

(‘‘Commission’’) the authority to issue

orders granting exemptions from the

Act’s provisions. The section that grants

broadest authority is section 6(c), which

provides the Commission with authority

to conditionally or unconditionally

exempt persons, securities or

transactions from any provision of the

Investment Company Act, or the rules or

regulations thereunder, if and to the

extent that such exemption is necessary

or appropriate in the public interest and

consistent with the protection of

investors and the purposes fairly

intended by the policy and provisions of

the Act.

2

Congress enacted section 6(c)

to give the Commission the flexibility to

address unforeseen or changed

circumstances in the investment

company industry. Rule 0–2 under the

Investment Company Act,

3

entitled

‘‘General Requirements of Papers and

Applications,’’ prescribes general

instructions for filing an application

seeking exemptive relief with the

Commission.

Rule 0–2(c)(1) requires that every

application for an order for which a

form is not specifically prescribed and

which is executed by a corporation,

partnership or other company and filed

with the Commission contain a

statement of the applicable provisions of

the articles of incorporation, bylaws or

similar documents, relating to the right

of the person signing and filing such

application to take such action on behalf

of the applicant, and a statement that all

such requirements have been complied

with and that the person signing and

filing the application is fully authorized

to do so. If such authorization is

dependent on resolutions of

stockholders, directors, or other bodies,

such resolutions must be attached as an

exhibit to or quoted in the application.

Any amendment to the application must

contain a similar statement as to the

applicability of the original statement of

authorization. When any application or

amendment is signed by an agent or

attorney, rule 0–2(c)(1) requires that the

power of attorney evidencing his

authority to sign shall state the basis for

the agent’s authority and shall be filed

with the Commission. Every application

subject to rule 0–2 must be verified by

the person executing the application by

executing an instrument in substantially

the form specified in the rule. Each

application subject to rule 0–2 must

state the reasons why the applicant is

deemed to be entitled to the action

requested, the name and address of each

applicant, and the name and address of

any person to whom any questions

regarding the application should be

directed. Electronic filing of all

applications for orders under the

Investment Company Act is mandatory.

Each application subject to rule 0–2 is

a one-time request and the rule itself

does not impose any ongoing

obligations or burdens on the part of an

applicant. Compliance with rule 0–2 is

required to obtain or retain benefits.

We estimate that approximately 139

registrants use rule 0–2 to make

exemptive applications.

4

Based on

conversations with fund representatives

and the Commission’s experience with

the use of rule 0–2, we estimate that the

reporting burden of compliance with

rule 0–2 is approximately 20 hours per

respondent. This time is spent, for

example, preparing the application to

submit to the Commission. Accordingly,

we calculate the total estimated annual

internal burden of complying with rule

0–2 to be approximately 2,780 hours.

We estimate the annual external costs to

be $10,341,600. 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 this proposed collection of

information is necessary for the proper

performance of the functions of the SEC,

including whether the information will

have practical utility; (b) the accuracy of

the SEC’s estimate of the burden

imposed by the proposed collection of

information, including the validity of

the methodology and the assumptions

used; (c) ways to enhance the quality,

utility, and clarity of the information to

be collected; and (d) ways to minimize

the burden of the collection of the

information on respondents, including

through the use of automated, electronic

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 PaperworkReductionAct@

sec.gov by August 3, 2026. There will be

a second opportunity to comment on

this SEC request following the Federal

Register publishing a 30-Day

Submission Notice.

Dated: June 1, 2026.

Sherry R. Haywood,

Assistant Secretary.

[FR Doc. 2026–11132 Filed 6–2–26; 8:45 am]

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