RECORD MAKING REQUIREMENTS FOR REGISTERED TRANSFER AGENTS (17 CFR S.240.17AD-6)

ICR 198109-3235-042

OMB: 3235-0137

Federal Form Document

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ICR Details
3235-0137 198109-3235-042
Historical Active
SEC
RECORD MAKING REQUIREMENTS FOR REGISTERED TRANSFER AGENTS (17 CFR S.240.17AD-6)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 12/22/1981
Retrieve Notice of Action (NOA) 09/30/1981
Agency will provide retention period(s) for recordkeeping requirements
  Inventory as of this Action Requested Previously Approved
12/31/1982 12/31/1982
625,000 0 0
1,562,500 0 0
0 0 0

RULE 17AD-6, ADOPTED JUNE 16, 1977, IS NEEDED (1) TO ASSURE THAT REGISTERED TRANSFER AGENTS ARE MAINTAINING MINIMUM RECORDS TO MONITOR AND TO CONTROL ADEQUATELY THEIR PERFORMANCE AND (2) TO PERMIT THE APPROPRIATE REGULATORY AGENCIES ("ARA'S") TO EXAMINE THOSE TRANSFER AGENTS FOR COMPLIANCE WITH THE COMMISSION'S RULES. THE COMMISSION AND OTHER ARA'S USE RULE 17AD-6 RECORDS PRIMARILY FOR INSPECTION PURPOSES.

None
None


No

1
IC Title Form No. Form Name
RECORD MAKING REQUIREMENTS FOR REGISTERED TRANSFER AGENTS (17 CFR S.240.17AD-6)

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 625,000 0 0 0 625,000 0
Annual Time Burden (Hours) 1,562,500 0 0 0 1,562,500 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
09/30/1981


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