Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Rule17Ad-11 supporting statement 2018.pdf	Supporting Statement A	Uploaded 2019-02-06	Available
30 day notice for 17ad-11.pdf	Supplementary Document	Uploaded 2019-02-06	Available
60 day notice for 17ad-11.pdf	Supplementary Document	Uploaded 2019-02-06	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34730	Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)		Modified

ICR Details

OMB Control No: 3235-0274	ICR Reference No: 201810-3235-021
Status: Active	Previous ICR Reference No: 201509-3235-005
Agency/Subagency: SEC	Agency Tracking No: TM-270-261
Title: Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/06/2019
	Date Received in OIRA: 02/06/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2022	36 Months From Approved	05/31/2019
Responses	10	0	12
Time Burden (Hours)	5	0	6
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17Ad-11 requires transfer agents to report to issuers and the appropriate regulatory agency in the event that aged record differences exceed certain dollar value thresholds.

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Authorizing Statute(s): US Code: 15 USC 78q-1(d) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 53692	10/24/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 64909	12/18/2018
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)

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ICR Summary of Burden

table that charts list of burden

	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	10	12	0	0	-2	0
Annual Time Burden (Hours)	5	6	0	0	-1	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The change in burden results from a decrease in the number of reports required to be submitted under Rule 17Ad-11 (12 to 10) and the number of entities submitting such reports (10 to 8).

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 02/06/2019

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