Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.

ICR 200809-3235-007

OMB: 3235-0214

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2008-12-15
ICR Details
3235-0214 200809-3235-007
Historical Active 200601-3235-003
SEC IM-270-238
Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.
Extension without change of a currently approved collection   No
Regular
Approved without change 03/03/2009
Retrieve Notice of Action (NOA) 12/31/2008
  Inventory as of this Action Requested Previously Approved
03/31/2012 36 Months From Approved 05/31/2009
8,238 0 7,744
3,633 0 1,935
0 0 0

Rule 17a-7 requires various records to be kept in connection with certain purchase or sale transaction between registered investment companies and certain of their affiliates to facilitate the Commission's monitoring of transactions executed under the rule.

US Code: 15 USC 80a-17a Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  73 FR 63215 10/23/2008
73 FR 80448 12/31/2008
No

1
IC Title Form No. Form Name
Exemption of Certain Purchase or Sale Transactions between Investment Company and Ceratin Affiliated Persons Thereof.

  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 8,238 7,744 0 0 494 0
Annual Time Burden (Hours) 3,633 1,935 0 0 1,698 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Thoreau Bartmann 202 551-6792 [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.
12/31/2008


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