Form N-Q Quarterly Holdings Disclosure Extension

Notice

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-Q

A Notice by the Securities and Exchange Commission on 04/21/2026

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• Public Inspection Published Document: 2026-07733 (91 FR 21341) Document Headings ###### Securities and Exchange Commission

1. [OMB Control No. 3235-0578] 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.) (“Paperwork Reduction Act”), the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. The title for the collection of information is “Form N-Q—Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company.”

The Commission is seeking to reinstate the Paperwork Reduction Act (“PRA”) information request for Form N-Q (17 CFR 249.332 and 274.130) under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) (“Investment Company Act”) and the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (“Exchange Act”) pursuant to OMB control number 3235-0578 for the purpose of discontinuing this information collection. The last Commission request for OMB approval under this control number was submitted in November 2018. Form N-Q was a form used by registered management investment companies, other than small business investment companies registered on Form N-5 (“SBICs”), under section 30(b) of the Investment Company Act and Sections 13(b) or 15(d) of the Exchange Act, to file reports at the end of the first and third quarters each fiscal year of portfolio holdings pursuant to rule 30b1-5 under the Investment Company Act (17 CFR 270.30b1-5). Effective August 1, 2019, the Commission rescinded Form N-Q and rescinded and reserved rule 30b1-5. [1 ]

As detailed in the Reporting Modernization Release, the Commission rescinded Form N-Q because the portfolio information contained in reports on Form N-Q is also included in a different form, Form N-PORT. As a result, Form N-PORT rendered reports on Form N-Q unnecessarily duplicative. Form N-PORT is a form used by registered management investment companies, other than money market funds and SBICs, under section 30(b) of the Investment Company Act and sections 13(a) or 15(d) of the Exchange Act to file monthly reports of portfolio holdings pursuant to rule 30b1-9 of the Investment Company Act (17 CFR 270.30b1-9). Specifically, rule 30b1-9 requires a registered management investment company or exchange traded fund organized as a unit investment trust, other than registered open-end management investment company that is regulated as money market fund or a SBIC to file a report of portfolio holdings on Form N-PORT, current as of the last business day, or last calendar day, of the month. The burden associated with the information request outlined within rule 30b1-9 is contained within the information request for Form N-PORT under OMB control number 3235-0730. Thus, there has been no lapse in reporting the burden associated with the rescinded and reserved rule 30b1-5 and rescinded Form N-Q. Since the burden is being reported under an alternative information collection request (“ICR”), the Commission is seeking to reinstate the Form N-Q ICR under control number 3235-0578 to have it properly discontinued as the regulation that required the Form N-Q ICR has changed by the Commission's rescinding Form N-Q and related rule 30b1-5 under the Investment Company Act.

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 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 ( printed page 21342) Officer, Securities and Exchange Commission, c/o Tanya Ruttenberg via email to PaperworkReductionAct@sec.gov by June 22, 2026. There will be a second opportunity to comment on this SEC request following the Federal Register publishing a 30-Day Submission Notice.

Dated: April 17, 2026.

Vanessa A. Countryman,

Secretary.

Footnotes

1.

 
See
Investment Company Reporting Modernization, Investment Company Act Release No. 32314 (Oct. 13, 2016) 81 FR 81870 (Nov. 18, 2016).

Back to Citation [FR Doc. 2026-07733 Filed 4-20-26; 8:45 am]

BILLING CODE 8011-01-P

Published Document: 2026-07733 (91 FR 21341)