Rule 17a-6 [17 CFR 270.17a-6] under the Investment Company Act of 1940, Exemption for Transactions with Portfolio Affiliates

ICR 200205-3235-006

OMB: 3235-0564

Federal Form Document

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ICR Details
3235-0564 200205-3235-006
Historical Active
SEC
Rule 17a-6 [17 CFR 270.17a-6] under the Investment Company Act of 1940, Exemption for Transactions with Portfolio Affiliates
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 07/09/2002
Retrieve Notice of Action (NOA) 05/06/2002
  Inventory as of this Action Requested Previously Approved
07/31/2005 07/31/2005
420 0 0
84 0 0
0 0 0

RUle 17a-6 permit a fund and its portfolio affiliates to engage in principal transactions that would otherwise be prohibited. To qualify for the proposed exemptive relief, a fund's board of directors must determine whether certain parties to such a transaction have material financial interests. Such findings must be noted in the board minutes and maintained in accordance with established recordkeeping rules.

None
None


No

  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 420 0 0 420 0 0
Annual Time Burden (Hours) 84 0 0 84 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
05/06/2002


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