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

ICR 200901-3235-001

OMB: 3235-0291

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-01-14
IC Document Collections
ICR Details
3235-0291 200901-3235-001
Historical Active 200605-3235-009
SEC TM-270-151
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 04/29/2009
Retrieve Notice of Action (NOA) 03/18/2009
  Inventory as of this Action Requested Previously Approved
04/30/2012 36 Months From Approved 07/31/2009
600 0 785
300,000 0 392,500
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 ("ARA'S") to examine those transfer agents for compliance with Commission's rules. The Commission and other ARA's 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

US Code: 15 USC 78q-1 Name of Law: Section 17A of the Exchange Act
  
None

Not associated with rulemaking

  74 FR 3116 01/16/2009
74 FR 11617 03/18/2009
No

1
IC Title Form No. Form Name
Rules 17Ad-6 and 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 600 785 0 0 -185 0
Annual Time Burden (Hours) 300,000 392,500 0 0 -92,500 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
Adjustment to agency estimate resulting in a decrease in the number of respondents and, therefore, the responses per year.

$0
No
No
Uncollected
Uncollected
No
Uncollected
David Karasik 202 942-4895 [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.
03/18/2009


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