Investment Company Act rule 17e-1, CFR Sec. 270.17e-1, Brokerage Transactions on a Securities Exchange

OMB 3235-0217

OMB 3235-0217

Rule 17e-1 governs the receipt of compensation by a broker affiliated with a registered investment company in connection with securities transactions by the investment company. The rule requires the board of directors to establish and review procedures to ensure compliance with the rule, and imposes recordkeeping requirements concerning such procedures and transactions effected under the rule. The rule exempts certain transactions from some of the rule's procedural and recordkeeping requirements.

The latest form for Investment Company Act rule 17e-1, CFR Sec. 270.17e-1, Brokerage Transactions on a Securities Exchange expires 2022-07-31 and can be found here.

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