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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0130 Jan 3, 2022.pdf Supplementary Document
3235-0130.pdf Supplementary Document
DGL REVISED 2022 RULE 17Ad-2(c) (d) and (h) SUPPORTING STATEMENT.pdf Supporting Statement A
30 day RULE 17Ad-2(c) (d) and (h) 30 DAY NOTICE 2019 DGL REVISED.pdf Supplementary Document
60 Day RULE 17Ad-2(c) (d) and (h) 60 DAY NOTICE 2019 DGL REVISED.pdf Supplementary Document
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)

All Historical Document Collections

202112-3235-016 Approved without change	Extension without change of a currently approved collection	2022-01-27
201812-3235-001 Approved without change	Extension without change of a currently approved collection	2019-03-28
201510-3235-004 Approved without change	Extension without change of a currently approved collection	2016-01-22
201211-3235-025 Approved without change	Extension without change of a currently approved collection	2013-02-12
201001-3235-001 Approved without change	Extension without change of a currently approved collection	2010-03-18
200701-3235-017 Approved without change	Extension without change of a currently approved collection	2007-03-19
200403-3235-003 Approved without change	Extension without change of a currently approved collection	2004-03-02
200101-3235-004 Approved without change	Extension without change of a currently approved collection	2001-01-16
199802-3235-004 Approved without change	Reinstatement with change of a previously approved collection	1998-02-25
199412-3235-006 Approved without change	Revision of a currently approved collection	1994-12-30
199308-3235-035 Approved without change	Extension without change of a currently approved collection	1993-08-26
199101-3235-010 Approved without change	Reinstatement with change of a previously approved collection	1991-01-23
198710-3235-029 Approved without change	Extension without change of a currently approved collection	1987-10-30
198409-3235-003 Approved without change	Revision of a currently approved collection	1984-09-05
198109-3235-035 Approved without change	New collection (Request for a new OMB Control Number)	1981-09-29