RULE 17E-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, BROKERAGE TRANSACTIONS ON A SECURITIES EXCHANGE

ICR 199309-3235-010

OMB: 3235-0217

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0217 199309-3235-010
Historical Active 199008-3235-004
SEC
RULE 17E-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, BROKERAGE TRANSACTIONS ON A SECURITIES EXCHANGE
Revision of a currently approved collection   No
Regular
Approved without change 12/20/1993
Retrieve Notice of Action (NOA) 09/23/1993
  Inventory as of this Action Requested Previously Approved
03/31/1997 03/31/1997 10/31/1993
1,000 0 500
10,000 0 5,000
0 0 0

RULE 17E-1 IS DESIGNED TO ENSURE THAT AFFILIATED BROKERS RECEIVE NO GREATER COMPENSATION THAN WOULD BE RECEIVED IN AN ARM'S LENGTH TRANSACTION. ITS RECORDKEEPING REQUIREMENTS AFFORD THE COMMISSION MEANS OF ASCERTAINING WHETHER REGISTRANTS AND THEIR AFFILIATED BROKERS ARE COMPLYING WITH THE RULE.

None
None


No

1
IC Title Form No. Form Name
RULE 17E-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, BROKERAGE TRANSACTIONS ON A SECURITIES EXCHANGE

  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 1,000 500 0 500 0 0
Annual Time Burden (Hours) 10,000 5,000 0 5,000 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.
09/23/1993


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