Notice to Issuers of Noncompliance with Transfer Agent Turnaround Standards -- Rule 17Ad-3(b), 17 CFR 240.17Ad-3

ICR 199908-3235-012

OMB: 3235-0473

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0473 199908-3235-012
Historical Active 199609-3235-017
SEC
Notice to Issuers of Noncompliance with Transfer Agent Turnaround Standards -- Rule 17Ad-3(b), 17 CFR 240.17Ad-3
Extension without change of a currently approved collection   No
Regular
Approved without change 09/21/1999
Retrieve Notice of Action (NOA) 08/17/1999
In accordance with the Paperwork Reduction Act of 1995 and 5 CFR 1320, the agency shall publish in a seperate notice announcing OMB approval of the collection of information a Paperwork Reduction Act statement which includes the information specified with 5 CFR 1320.8(b)(3)(i)-(iv), the OMB number, and the valid expiration date.
  Inventory as of this Action Requested Previously Approved
10/31/2002 10/31/2002 10/31/1999
2 0 2
2 0 2
0 0 120,000

This third-party notice to issuers informs issuers of a transfer agent's failure to meet minimum performance standards established pursuant to Rule 17Ad-2. This notice serves to alert issuers to the problem and allows them to monitor the situation or take remedial action.

None
None


No

1
IC Title Form No. Form Name
Notice to Issuers of Noncompliance with Transfer Agent Turnaround Standards -- Rule 17Ad-3(b), 17 CFR 240.17Ad-3

  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 2 2 0 0 0 0
Annual Time Burden (Hours) 2 2 0 0 0 0
Annual Cost Burden (Dollars) 0 120,000 0 0 -120,000 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.
08/17/1999


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