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

ICR 202112-3235-016

OMB: 3235-0130

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2022-01-27
Supplementary Document
2022-01-27
Supporting Statement A
2021-12-20
Supplementary Document
2019-03-28
Supplementary Document
2019-03-28
IC Document Collections
ICR Details
3235-0130 202112-3235-016
Received in OIRA 201812-3235-001
SEC TM-270-149
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)
Extension without change of a currently approved collection   No
Regular 01/27/2022
  Requested Previously Approved
36 Months From Approved 06/30/2022
3 3
2 2
0 0

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.

US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  87 FR 134 01/03/2022
87 FR 4317 01/27/2022
No

1
IC Title Form No. Form Name
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)

  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 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
No
No

$0
No
    No
    No
No
No
No
No
Jimmy McNamara 202 551-6001

  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.
01/27/2022


© 2024 OMB.report | Privacy Policy