EXEMPTION OF ACQUISITION OF SECURITIES DURING THE EXISTENCE OF UNDERWRITING SYNDICATE - RULE 10F-3 UNDER THE INVESTMENT COMPANY ACT OF 1940

ICR 198111-3235-022

OMB: 3235-0226

Federal Form Document

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ICR Details
3235-0226 198111-3235-022
Historical Active
SEC
EXEMPTION OF ACQUISITION OF SECURITIES DURING THE EXISTENCE OF UNDERWRITING SYNDICATE - RULE 10F-3 UNDER THE INVESTMENT COMPANY ACT OF 1940
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 12/03/1981
Retrieve Notice of Action (NOA) 11/06/1981
  Inventory as of this Action Requested Previously Approved
10/31/1983 10/31/1983
2,400 0 0
1,200 0 0
0 0 0

RULE 10F-3 PERMITS SPECIFIC CONDITIONS, THE PURCHASE OF REGISTERED SECURITIES FROM UNDERWRITING SYNDICATES WHOSE MEMBERS INCLUDE AFFILIATED PERSONS OF THE PURCHASING INVESTMENT COMPANY. THE RULE REQUIRES INVESTMENT COMPANIES WHICH PURCHASE SECURITIES PURSUANT TO TH RULE TO DISCLOSE THOSE TRANSACTIONS IN FORM N-1Q. THE REPORTING REQUIREMENT OF THE RULE PROVIDES INFORMATION TO BE UTILIZED BY INVESTORS IN EVALUATING TRANSACTIONS EXECUTIED PURSUANT TO THE RULE.

None
None


No

  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 2,400 0 0 0 2,400 0
Annual Time Burden (Hours) 1,200 0 0 0 1,200 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.
11/06/1981


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