Notices of exempt status prepared for TAs whose ARA is SEC or OCC

Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0341 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Notices of exempt status prepared for TAs whose ARA is SEC or OCC	Agency IC Tracking Number:	270-264

Is this a Common Form? No		IC Status: Removed

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17AD-4(b)(c)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 15	Number of Respondents for Small Entity: 15

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	-15	15
Annual IC Time Burden (Hours)	-8	8
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.