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

ICR 202111-3235-001

OMB: 3235-0341

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2022-01-11
Supplementary Document
2022-01-11
Supporting Statement A
2021-11-02
Supplementary Document
2018-12-20
Supplementary Document
2018-12-20
IC Document Collections
ICR Details
3235-0341 202111-3235-001
Received in OIRA 201810-3235-016
SEC TM-270-264
Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status
Extension without change of a currently approved collection   No
Regular 01/11/2022
  Requested Previously Approved
36 Months From Approved 02/28/2022
10 10
15 15
0 0

Rule 17Ad-4(b)&(c) is used to document when transfer agents are exempt or no longer exempt from certain of the Commission's transfer agent rules.

US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  86 FR 62232 11/09/2021
87 FR 1465 01/11/2022
No

1
IC Title Form No. Form Name
Notices that are filed or prepared for TAs whose ARA is the SEC

  Total Request 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 10 0 0 0 0
Annual Time Burden (Hours) 15 15 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$750
No
    No
    No
No
No
No
No
Catherine Whiting 202 551-4990

  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.
01/11/2022


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