CONDITIONAL EXEMPTION UNDER THE SECURITIES EXCHANGE ACT OF 1934 FROM THE CONFIRMATION REQUIREMENTS OF EXCHANGE ACT RULE 10b-10(a) FOR CERTAIN TRANSACTIONS IN MONEY MARKET FUNDS
ICR 202201-3235-010
OMB: 3235-0739
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0739 can be found here:
CONDITIONAL EXEMPTION UNDER
THE SECURITIES EXCHANGE ACT OF 1934 FROM THE CONFIRMATION
REQUIREMENTS OF EXCHANGE ACT RULE 10b-10(a) FOR CERTAIN
TRANSACTIONS IN MONEY MARKET FUNDS
Revision of a currently approved collection
No
Regular
01/27/2022
Requested
Previously Approved
36 Months From Approved
04/30/2022
162
162
292
292
0
0
The Commission is issuing an Order
Granting a Conditional Exemption under the Securities Exchange Act
of 1934 From The Confirmation Requirements of Exchange Act Rule
10b-10(a) For Certain Transactions In Money Market Funds. The Order
would allow broker-dealers, subject to certain conditions, to
provide transaction information to investors in any money market
fund operating pursuant to Rule 2a-7(c)(1)(ii) of the Investment
Company Act of 1940 on a monthly basis in lieu of providing
immediate confirmations as required under Exchange Act Rule
10b-10(a).
US Code:
15
USC 78mm Name of Law: Securities Exchange Act of 1934
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.