OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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 · SEC.

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 2028-04-30 and is listed under ICR 202411-3235-013.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 02 28_90 FR 10983_3235-0274_30-Day Submission Notice.pdf.pdfSupplementary Document
2024 12 03_89 FR 95842_OMB No 3235–0274_60-Day Collection Notice.pdfSupplementary Document
Supporting_Statement Rule 17Ad-11 2024.pdfSupporting Statement A
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202411-3235-013 Extension without change of a currently approved collection 2025-02-28
202202-3235-032 Extension without change of a currently approved collection 2022-05-13 Approved without change
201810-3235-021 Extension without change of a currently approved collection 2019-02-06 Approved without change
201509-3235-005 Extension without change of a currently approved collection 2015-12-15 Approved without change
201208-3235-010 Extension without change of a currently approved collection 2012-11-07 Approved without change
200911-3235-016 Extension without change of a currently approved collection 2010-01-08 Approved without change
200701-3235-016 Extension without change of a currently approved collection 2007-03-19 Approved without change
200401-3235-004 Extension without change of a currently approved collection 2004-01-07 Approved without change
200010-3235-007 Extension without change of a currently approved collection 2000-10-31 Approved without change
199710-3235-003 Extension without change of a currently approved collection 1997-10-10 Approved without change
199411-3235-013 Extension without change of a currently approved collection 1994-11-17 Approved without change
199111-3235-004 Extension without change of a currently approved collection 1991-11-15 Approved without change
198901-3235-003 Extension without change of a currently approved collection 1989-01-31 Approved without change
198601-3235-003 Revision of a currently approved collection 1986-01-16 Approved without change
198210-3235-004 New collection (Request for a new OMB Control Number) 1982-10-22 Approved without change