SEC - Agency Information Collection, OMB Review, Comment Request, Form N-3

FR: Securities and Exchange Commission

Published March 26th, 2026

Detected March 26th, 2026

Summary

The Securities and Exchange Commission (SEC) has submitted a request to the Office of Management and Budget (OMB) for review and extension of the information collection requirements associated with Form N-3. This notice seeks public comment on the proposed extension.

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What changed

The Securities and Exchange Commission (SEC) has published a notice regarding the submission of Form N-3 for OMB review and extension of its associated information collection requirements. The OMB control number for this collection is 3235-0316. This action is part of the SEC's standard process for managing and renewing its data collection instruments.

Regulated entities that use Form N-3 should be aware that the SEC is seeking to extend the existing information collection. While this notice is primarily procedural, it serves as an opportunity for public comment on the necessity and burden of the information collected. Compliance officers should review the details of Form N-3 and its associated burdens to determine if any comments should be submitted by the close of the comment period.

What to do next

Review Form N-3 and associated information collection burdens.
Consider submitting comments on the information collection request by the comment close date.

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Notice

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-3

A Notice by the Securities and Exchange Commission on 03/26/2026

Document Details Published Content - Document Details Agency Securities and Exchange Commission Agency/Docket Number OMB Control No. 3235-0316 Document Citation 91 FR 14731 Document Number 2026-05892 Document Type Notice Page 14731
(1 page) Publication Date 03/26/2026 Published Content - Document Details
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Document Details Published Content - Document Details Agency Securities and Exchange Commission Agency/Docket Number OMB Control No. 3235-0316 Document Citation 91 FR 14731 Document Number 2026-05892 Document Type Notice Page 14731
(1 page) Publication Date 03/26/2026 Published Content - Document Details
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| OMB Control No. 3235-0316
(4 Documents) | | | |
| --- | | | |
| Date | | Action | Title |
| | 2026-03-26 | | Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-3 |
| | 2026-01-23 | | Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-3 |
| View More Docket Documents | | | |

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Securities and Exchange Commission

[OMB Control No. 3235-0316] 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 (the “Commission”) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

The title for the collection of information is “Form N-3 (17 CFR 239.17a and 274.11b) under the Securities Act of 1933 (15 U.S.C. 77) and under the Investment Company Act of 1940 (15 U.S.C. 80a), Registration Statement of Separate Accounts Organized as Management Investment Companies.” Form N-3 is the form used by separate accounts offering variable annuity contracts which are organized as management investment companies to register under the Investment Company Act of 1940 (“Investment Company Act”) and/or to register their securities under the Securities Act of 1933 (“Securities Act”). Form N-3 is also the form used to file a registration statement under the Securities Act (and any amendments thereto) for variable annuity contracts funded by separate accounts which would be required to be registered under the Investment Company Act as management investment companies except for the exclusion provided by Section 3(c)(11) of the Investment Company Act (15 U.S.C. 80a-3(c)(11)). Section 5 of the Securities Act (15 U.S.C. 77e) requires the filing of a registration statement prior to the offer of securities to the public and that the statement be effective before any securities are sold, and Section 8 of the Investment Company Act (15 U.S.C. 80a-8) requires a separate account to register as an investment company.

Form N-3 also permits separate accounts offering variable annuity contracts which are organized as investment companies to provide investors with a prospectus and a statement of additional information covering essential information about the separate account when it makes an initial or additional offering of its securities. Section 5(b) of the Securities Act requires that investors be provided with a prospectus containing the information required in a registration statement prior to the sale or at the time of confirmation or delivery of the securities. The form also may be used by the Commission in its regulatory review, inspection, and policy-making roles.

We estimate that the hour burden for the initial registration statement on Form N-3 is 926.4 hours per initial registration statement filings. We estimate that 1 initial registration statement will be filed on Form N-3 in the next 3 years, resulting in a 309 annual hour burden for initial registration statement filings (926.4 hours ÷ 3 years = 309 annual hour burden). In addition, we estimate that there are currently 3 insurer separate accounts that file post-effective amendments on Form N-3 per year, with an average of 3 investment options per post-effective amendment). We estimate that the current hour burden per post-effective amendment is 157.55 hours, resulting in an hour burden of 1,418 for post effective-amendments on Form N-3 (that is, 157.55 × 4 investment options per post-effective amendment × 3 post-effective amendments = 1,418 hours). In total, we estimate an aggregate hour burden of 1,727 hours (309 hours for the initial registration statement + 1,418 hours for the post-effective amendments = 1,727 hours). Respondents may rely on outside counsel or auditors in connection with the preparation and filing of Form N-3. Commission staff estimates that the annual cost burden associated with preparing and filing Form N-3 is $125,376.

The information collection requirements imposed by Form N-3 are mandatory. Responses to the collection of information 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.

The public may view and comment on this information collection request at: https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3235-007 or email comment to MBX.OMB.OIRA.SECdeskofficer@omb.eop.gov within 30 days of the day after publication of this notice, by April 27, 2026.

Dated: March 24, 2026.

Sherry R. Haywood,

Assistant Secretary.

[FR Doc. 2026-05892 Filed 3-25-26; 8:45 am]

BILLING CODE 8011-01-P

Published Document: 2026-05892 (91 FR 14731)