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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 is listed under ICR 202603-3235-016.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0214_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| Supporting Statement_Rule 17a-7 (2026).pdf | Supporting Statement A |
| 3235-0214_60-Day Collection Notice.pdf | Supplementary Document |
 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof. |
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