Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)

OMB 3235-0274

Rule 17Ad-11 requires transfer agents to report to issuers and the appropriate regulatory agency in the event that aged record differences exceed certain dollar value thresholds.

The latest form for Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11) expires 2022-05-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0274.pdf Supplementary Document
3235-0274.pdf Supplementary Document
DGL REVISED 2022 Rule 17Ad-11 PRA Supporting Statement 2022 02 28.pdf Supporting Statement A
30 day notice for 17ad-11.pdf Supplementary Document
60 day notice for 17ad-11.pdf Supplementary Document
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)

All Historical Document Collections

202202-3235-032 Approved without change	Extension without change of a currently approved collection	2022-05-13
201810-3235-021 Approved without change	Extension without change of a currently approved collection	2019-02-06
201509-3235-005 Approved without change	Extension without change of a currently approved collection	2015-12-15
201208-3235-010 Approved without change	Extension without change of a currently approved collection	2012-11-07
200911-3235-016 Approved without change	Extension without change of a currently approved collection	2010-01-08
200701-3235-016 Approved without change	Extension without change of a currently approved collection	2007-03-19
200401-3235-004 Approved without change	Extension without change of a currently approved collection	2004-01-07
200010-3235-007 Approved without change	Extension without change of a currently approved collection	2000-10-31
199710-3235-003 Approved without change	Extension without change of a currently approved collection	1997-10-10
199411-3235-013 Approved without change	Extension without change of a currently approved collection	1994-11-17
199111-3235-004 Approved without change	Extension without change of a currently approved collection	1991-11-15
198901-3235-003 Approved without change	Extension without change of a currently approved collection	1989-01-31
198601-3235-003 Approved without change	Revision of a currently approved collection	1986-01-16
198210-3235-004 Approved without change	New collection (Request for a new OMB Control Number)	1982-10-22