OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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.

OMB 3235-0214 · SEC.

OMB 3235-0214

Rule 17a-7 (17 CFR 270.17a-7) under the Investment Company Act of 1940 provides an exemption from section 17(a) of the Act for certain purchases and sales of securities between registered investment companies and certain affiliates. The rule requires various records to be kept by registered investment companies that engage in transactions under the rule. The investment company must make these records available to the Commission or any representative of the Commission at any time and from time to time for reasonable periodic, special or other examination.

The latest form for 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. expires 2029-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supporting Statement A
Supplementary Document
All Historical Document Collections
 Extension without change of a currently approved collection 2026-06-01
Approved without change
 Extension without change of a currently approved collection 2023-11-13
Extension without change of a currently approved collection 2020-12-10
Approved without change
 Extension without change of a currently approved collection 2017-11-22
Approved without change
 Extension without change of a currently approved collection 2015-01-08
Approved with change
 Extension without change of a currently approved collection 2011-11-17
Approved without change
 Extension without change of a currently approved collection 2008-12-31
Approved without change
 Extension without change of a currently approved collection 2006-01-25
Approved without change
 Extension without change of a currently approved collection 2002-12-20
Approved without change
 Extension without change of a currently approved collection 2000-02-18
Approved without change
 Extension without change of a currently approved collection 1997-01-02
Approved without change
 Revision of a currently approved collection 1993-10-19
Approved without change
 Revision of a currently approved collection 1991-02-05
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-04-25
Approved without change
 Revision of a currently approved collection 1987-12-23
Approved without change
 Revision of a currently approved collection 1984-12-07
Approved without change
 New collection (Request for a new OMB Control Number) 1981-11-03