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 198712-3235-011
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⚠️ Notice: This information collection may be outdated.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
, 'INVESTMENT COMPANIES'. RULE 17A-7
REQUIRES VARIOUS RECORDS TO BE KEPT IN CONNECTION WITH CERTAIN
PURCHASE OR SALE TRANSACTIONS BETWEEN REGISTERED INVESTMENT
COMPANIES AND CERTAIN OF THEIR AFFILIATES TO FACILITATE THE
COMMISSION'S MONITORING OF TRANSACTIONS EXECUTED PURSUANT TO THE
RULE.
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.