OMB control number
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)
OMB 3235-0130 · SEC.
OMB 3235-0130
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.
The latest form for Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h) expires 2028-03-31 and is listed under ICR 202410-3235-005.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 2024 12 30_89 FR 106704_3235-0130_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 2024 12 30_89 FR 106704_3235-0130_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 89 FR 84423 (OMB 3235-0130).pdf | Supplementary Document |
| 89 FR 84423 (OMB 3235-0130).pdf | Supplementary Document |
| Supporting Statement_Rule 17Ad-2(c) (d) and (h) 2025 DGL REVISED.pdf | Supporting Statement A |
| Supporting Statement_Rule 17Ad-2(c) (d) and (h) 2025 DGL REVISED.pdf | Supporting Statement A |
 Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h) |
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