Rule 10f-3 - Exemption of Acquisition of Securities During the Existence of Underwriting Syndicate

ICR 199507-3235-026

OMB: 3235-0226

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0226 199507-3235-026
Historical Active 199209-3235-007
SEC
Rule 10f-3 - Exemption of Acquisition of Securities During the Existence of Underwriting Syndicate
Extension without change of a currently approved collection   No
Regular
Approved without change 09/11/1995
Retrieve Notice of Action (NOA) 07/24/1995
  Inventory as of this Action Requested Previously Approved
09/30/1998 09/30/1998 09/30/1995
600 0 0
600 0 1,200
0 0 0

Rule 10f-3 permits, under certain conditions, purchases of securities from underwriting syndicates whose members include affiliated persons of the purchasing investment company. The rule requires disclosures of those transactions in the investment company's Form N-SAR, and also requires investment companies to keep records of transactions made in reliance upon the rule.

None
None


No

1
IC Title Form No. Form Name
Rule 10f-3 - Exemption of Acquisition of Securities During the Existence of Underwriting Syndicate

  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 600 0 0 0 600 0
Annual Time Burden (Hours) 600 1,200 0 0 -600 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
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.
07/24/1995


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