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

OMB 3235-0130

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 2022-06-30 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2019-03-28
Approved without change
Extension without change of a currently approved collection 2016-01-22
Approved without change
Extension without change of a currently approved collection 2013-02-12
Approved without change
Extension without change of a currently approved collection 2010-03-18
Approved without change
Extension without change of a currently approved collection 2007-03-19
Approved without change
Extension without change of a currently approved collection 2004-03-02
Approved without change
Extension without change of a currently approved collection 2001-01-16
Approved without change
Reinstatement with change of a previously approved collection 1998-02-25
Approved without change
Revision of a currently approved collection 1994-12-30
Approved without change
Extension without change of a currently approved collection 1993-08-26
Approved without change
Reinstatement with change of a previously approved collection 1991-01-23
Approved without change
Extension without change of a currently approved collection 1987-10-30
Approved without change
Revision of a currently approved collection 1984-09-05
Approved without change
New collection (Request for a new OMB Control Number) 1981-09-29

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