SEC proposes extension of Rule 11a-2 information collection

The Securities and Exchange Commission issued a 60-day notice (FR Doc No. 2026-18255) on September 3, 2026 to extend the information collection under Rule 11a-2, 17 CFR 270.11a-2, and to seek public comment. The collection is identified by OMB Control No. 3235-0272.

Rule 11a-2, promulgated under the Investment Company Act of 1940, allows certain registered insurance company separate accounts to make exchange offers without prior SEC approval, provided they disclose any administrative fee or sales load in the registration statements filed under the Securities Act of 1933.

The Commission estimates that 656 registrants are governed by Rule 11a-2. The total annual burden is projected at 656 hours, a reduction of one hour from the prior estimate of 657 hours due to a decrease in the number of registrants. The estimated external cost of the collection remains $0. The burden estimate is included in the PRA submissions for Forms N-3, N-4, and N-6, with an additional one-hour administrative burden for Rule 11a-2.

Written comments are invited on the necessity, burden accuracy, and potential improvements to the collection, including electronic submission options. Comments should be directed to Austin Gerig, Director/Chief Data Officer, SEC, c/o Tanya Ruttenberg, via the provided email address by November 9, 2026.

The notice reiterates that the information collection is mandatory, responses will not be kept confidential, and a valid OMB control number is required for any collection to be conducted or sponsored.