Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad- 2(c), (d), (h)

ICR 200101-3235-004

OMB: 3235-0130

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
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ICR Details
3235-0130 200101-3235-004
Historical Active 199802-3235-004
SEC
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad- 2(c), (d), (h)
Extension without change of a currently approved collection   No
Regular
Approved without change 03/12/2001
Retrieve Notice of Action (NOA) 01/16/2001
  Inventory as of this Action Requested Previously Approved
04/30/2004 04/30/2004 03/31/2001
10 0 10
5 0 5
0 0 0

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

None
None


No

1
IC Title Form No. Form Name
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad- 2(c), (d), (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 10 0 0 0 0
Annual Time Burden (Hours) 5 5 0 0 0 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.
01/16/2001


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