Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents

ICR 200108-3235-011

OMB: 3235-0291

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0291 200108-3235-011
Historical Inactive 199808-3235-005
SEC
Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents
Extension without change of a currently approved collection   No
Regular
Withdrawn and continue 10/29/2001
Retrieve Notice of Action (NOA) 08/29/2001
In accordance with 5 CFR 1320, this information collection has been withdrawn. Upon resubmission, the agency should address the existing terms of clearance. The existing terms of clearance require the agency to review the recordkeeping requirement and include any nonhour costs associated with the requirement, including, for example, the additional rent necessary to accomodate the additional storage.
  Inventory as of this Action Requested Previously Approved
11/30/2001 10/31/2004 04/30/2002
1,248 0 1,248
599,040 0 0
0 0 0

Rule 17Ad-6 is needed to (1) ensure that registered transfer agents maintain certain records that are necessary for the Commission to adequately monitor and assess their performance; and (2) to permit the appropriate regulatory agencies ("ARAs") to examine those transfer agents for complaince with Commission's rules. The Commission and other ARAs use Rule 17Ad- 6 records for inspection purposes. Rule 17Ad-7 is needed to ensure that registered transfer agents retain in an easily accessible place for a period of six months to one year all the records required to be made and kept current

None
None


No

1
IC Title Form No. Form Name
Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents

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.
08/29/2001


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