Record Retention Requirements for Registered Transfer Agents

ICR 200109-3235-003

OMB: 3235-0136

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
3235-0136 200109-3235-003
Historical Active 199906-3235-004
SEC
Record Retention Requirements for Registered Transfer Agents
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 09/06/2001
Retrieve Notice of Action (NOA) 09/06/2001
  Inventory as of this Action Requested Previously Approved
09/30/2001 09/30/2001 10/31/2001
1,248 0 1,248
147,272 0 147,272
0 0 0

Rule 17Ad-7 ensures that registered transfer agents initially retain in an easily accessible place for a period of 6 months to 1 year all the records required to be made and kept current under the Commission's rules regarding registered transfer agents. Rule 17Ad-7 also ensures that such records are retained for a total of 2 to 6 years or for 1 year after termination of the transfer agency, depending on the particular record or document.

None
None


No

1
IC Title Form No. Form Name
Record Retention Requirements for Registered Transfer Agents

  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 1,248 1,248 0 0 0 0
Annual Time Burden (Hours) 147,272 147,272 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.
09/06/2001


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