Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents

ICR 200201-3235-014

OMB: 3235-0291

Federal Form Document

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Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0291 200201-3235-014
Historical Active 200108-3235-011
SEC
Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents
Extension without change of a currently approved collection   No
Regular
Approved without change 04/25/2002
Retrieve Notice of Action (NOA) 01/29/2002
Upon resubmission, the agency should provide a quantitative cost estimate for this collection.
  Inventory as of this Action Requested Previously Approved
07/31/2003 07/31/2003 04/30/2002
1,000 0 1,248
500,000 0 599,040
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 compliance 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 under the Commission's rules

None
None


No

1
IC Title Form No. Form Name
Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping 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 1,000 1,248 0 0 -248 0
Annual Time Burden (Hours) 500,000 599,040 0 0 -99,040 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.
01/29/2002


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