RULE 17A-7 UNDER THE INVESTMENT COMPANY ACT OF 1940-EXEMP TION OF CERTAIN PURCHASE OR SALE TRANSACTIONS BETWEEN AN INVESTMENT COMPANY AND CERTAIN AFFILIATED PERSONS THEREOF
ICR 198412-3235-002
OMB: 3235-0214
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0214 can be found here:
RULE 17A-7 UNDER THE
INVESTMENT COMPANY ACT OF 1940-EXEMP TION OF CERTAIN PURCHASE OR
SALE TRANSACTIONS BETWEEN AN INVESTMENT COMPANY AND CERTAIN
AFFILIATED PERSONS THEREOF
RULE 17A-7 REQUIRES VARIOUS RECORDS TO
BE KEPT IN CONNECTION WITH CERTAIN PURCHASE AND SALE TRANSACTIONS
BETWEEN REGISTERED INVESTMENT COMPANIES AND CERTAIN OF THEIR
AFFILIATES. THE RECORDKEEPING REQUIRE MENT OF RULE 17A-7
FACILITATES THE COMMISSION'S MONITORING OF TRANSACTIONS EXECUTED
PURSUANT TO THE RULE. REGISTERED INVESTMENT COMPANIES ARE
AFFECTED.
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.