Notice of Non-Compliance with Turnaround Standards Rule 17Ad-2(c), (d), and (h)

ICR 199412-3235-006

OMB: 3235-0130

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0130 199412-3235-006
Historical Active 199308-3235-035
SEC
Notice of Non-Compliance with Turnaround Standards Rule 17Ad-2(c), (d), and (h)
Revision of a currently approved collection   No
Regular
Approved without change 02/01/1995
Retrieve Notice of Action (NOA) 12/30/1994
  Inventory as of this Action Requested Previously Approved
01/31/1998 01/31/1998 11/30/1996
10 0 0
5 0 4
0 0 0

A notice filed under Rule 17Ad-2(c), (d), and (h), informs the Commission or the appropriate reglatory agency of a transfer agent's failure to meet the minimum performance standards. This notice alerts the Commission or other regulators of the transfer agent's inability to meet performance standards and allows the appropriate regulator to monitor the situation and take remedial action, if needed.

None
None


No

1
IC Title Form No. Form Name
Notice of Non-Compliance with Turnaround Standards Rule 17Ad-2(c), (d), and (h)

  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 10 0 0 10 0 0
Annual Time Burden (Hours) 5 4 0 1 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.
12/30/1994


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