ANNUAL AUDIT OF INTERNAL ACCOUNTING CONTROL RULE 17AD-13

ICR 198210-3235-001

OMB: 3235-0275

Federal Form Document

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Document
Name
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No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
159219 Migrated
ICR Details
3235-0275 198210-3235-001
Historical Active
SEC
ANNUAL AUDIT OF INTERNAL ACCOUNTING CONTROL RULE 17AD-13
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 01/13/1983
Retrieve Notice of Action (NOA) 10/22/1982
  Inventory as of this Action Requested Previously Approved
01/31/1986 01/31/1986
200 0 0
50,000 0 0
0 0 0

RULE 17AS-13, AS PROPOSED FOR COMMENT, WOULD REQUIRE CERTAIN REGISTERE TRANSFER AGENTS TO OBTAIN AN ANNUAL INDEPENDENT AUDIT OF THE ADEQUACY OF THEIR INTERNAL ACCOUNTING CONTROLS & PROCEDURES FOR THE SAFEGUARDIN OF FUNDS & SECURITIES USED IN CONN. WITH THEIR TRANSFER AGENT FUNCTION THE INFO. RESULTING FROM THIS AUDIT WOULD BE USED BY THE REGISTERED TRANSFER AGENT & APPROP. REG. AGENCY IN ASSESSING THE ADEQUACY OF THOS CONROLS & PROCED. & CORRECTING ANY MATERIAL INADEQUACY DISCLOSED IN...

None
None


No

1
IC Title Form No. Form Name
ANNUAL AUDIT OF INTERNAL ACCOUNTING CONTROL RULE 17AD-13 17AD-13

  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 200 0 0 200 0 0
Annual Time Burden (Hours) 50,000 0 0 50,000 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
10/22/1982


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