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

OMB 3235-0214

Rule 17a-7 requires various records to be kept in connection with certain purchase or sale transaction between registered investment companies and certain of their affiliates to facilitate the Commission's monitoring of transactions executed under the rule.

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 2021-02-28 and can be found here.

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