Notices regarding exempt transfer agent status 17 CFR 240.17Ad-4(b) & (c)

ICR 200311-3235-006

OMB: 3235-0341

Federal Form Document

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ICR Details
3235-0341 200311-3235-006
Historical Active 200007-3235-002
SEC
Notices regarding exempt transfer agent status 17 CFR 240.17Ad-4(b) & (c)
Extension without change of a currently approved collection   No
Regular
Approved without change 02/12/2004
Retrieve Notice of Action (NOA) 11/25/2003
  Inventory as of this Action Requested Previously Approved
02/28/2007 02/28/2007 02/29/2004
70 0 70
35 0 35
0 0 0

Rule 17Ad-4(b) & (c) are used to document when transfer agents are exempt, or no longer exempt, from the minimum performance standards and certain recordkeeping provisions of the Commission's Transfer agent rule.

None
None


No

1
IC Title Form No. Form Name
Notices regarding exempt transfer agent status 17 CFR 240.17Ad-4(b) & (c)

  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 70 70 0 0 0 0
Annual Time Burden (Hours) 35 35 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.
11/25/2003


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