Annual Study and Evaluation of Internal Accounting Control (17 CFR 240.17Ad-13)

ICR 200701-3235-014

OMB: 3235-0275

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
0000-00-00
IC Document Collections
ICR Details
3235-0275 200701-3235-014
Historical Active 200401-3235-005
SEC 270-263
Annual Study and Evaluation of Internal Accounting Control (17 CFR 240.17Ad-13)
Extension without change of a currently approved collection   No
Regular
Approved without change 04/25/2007
Retrieve Notice of Action (NOA) 03/19/2007
  Inventory as of this Action Requested Previously Approved
04/30/2010 36 Months From Approved 04/30/2007
200 0 200
35,000 0 35,000
0 0 0

Rule 17Ad-13 requires certain registered transfer agents to obtain an annual report on the adequacy of internal accounting controls. Rule 17Ad-13 exempts issuers that perform transfer agent functions solely for their own securities and certain transfer agents that qualify under the rule as "small" transfer agents. The rule also permits the federal bank regulatory agencies to exempt bank transfer agents subjtct to their jurisdiction that are not otherwise exempt as small transfer agents or issuer-transfer agents, provided that a report similar in scope to the report required by Rule 17Ad-13 is prepared by

US Code: 15 USC 78q, 78q-1 and 78w(a) Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  72 FR 354 01/04/2007
72 FR 21850 03/19/2007
No

1
IC Title Form No. Form Name
Annual Study and Evaluation of Internal Accounting Control (17 CFR 240.17Ad-13)

  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 200 200 0 0 0 0
Annual Time Burden (Hours) 35,000 35,000 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Catherine Moore 202 551-5718 [email protected]

  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.
03/19/2007


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