Investment Company Act rule
17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or
Sale Transactions Between an Investment Company and Certain
Affiliated Persons Thereof.
Extension without change of a currently approved collection
36 Months From Approved
Rule 17a-7 requires various records to
be kept in connection with certain purchase or sale transaction
between registered investment companies and certain of their
affiliates to facilitate the Commission's monitoring of
transactions executed under the rule.
USC 80a Name of Law: Investment Company Act of 1940
The estimated burden hours
associated with rule 17a-7 has decreased from 2,616 burden hours to
2,225 burden hours. This decrease of 391 hours is primarily due to
a decrease in the number of currently active funds and a decrease
in the number of new funds each year.
David Driscoll 202
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
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
(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
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.