Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)

Forms and Documents

Document	Type	Status	Availability
30 day RULE 17Ad-2(c) (d) and (h) 30 DAY NOTICE 2019 DGL REVISED.pdf	Supplementary Document	Uploaded 2019-03-28	Available
60 Day RULE 17Ad-2(c) (d) and (h) 60 DAY NOTICE 2019 DGL REVISED.pdf	Supplementary Document	Uploaded 2019-03-28	Available
RULE 17Ad-2(c) (d) and (h) SUPPORTING STATEMENT 2019 DGL REVISED.pdf	Supporting Statement A	Uploaded 2019-03-28	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34415	Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)		Unchanged

ICR Details

OMB Control No: 3235-0130	ICR Reference No: 201812-3235-001
Status: Active	Previous ICR Reference No: 201510-3235-004
Agency/Subagency: SEC	Agency Tracking No: TM-270-149
Title: Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)
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: 06/24/2019
	Date Received in OIRA: 03/28/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2022	36 Months From Approved	06/30/2019
Responses	3	0	3
Time Burden (Hours)	2	0	2
Cost Burden (Dollars)	0	0	0

---

Abstract: A notice filed under Rule 17Ad-2(c),(d), and (h) informs the Commission or the appropriate regulatory agency of a transfer agent's failure to meet the minimum performance standards set by the Commission rule. This notice alerts the Commission or other regulators to the problem, and allows it to monitor the situation and take remedial action, if needed.

---

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

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 64421	12/14/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 2593	02/07/2019
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)

---

ICR Summary 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	3	3	0	0	0	0
Annual Time Burden (Hours)	2	2	0	0	0	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:

---

Annual Cost to Federal Government: $100

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

---

Common Form ICR:  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:

(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: 03/28/2019

---