OMB control number
Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control
OMB 3235-0275 · SEC.
OMB 3235-0275
Rule 17Ad-13 requires certain registered transfer agents to obtain an annual report prepared by an independent accountant that discusses the adequacy of the transfer agent's system of internal accounting control and related procedures for the transfer of record ownership and the safeguarding of related securities and funds.
The latest form for Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control expires 2027-11-30 and is listed under ICR 202407-3235-016.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 80980 (OMB 3235–0275).pdf | Supplementary Document |
| 89 FR 59944 (OMB 3235-0275).pdf | Supplementary Document |
| Supporting Statement_Rule 17Ad-13 2024 DGL REVISED.pdf | Supporting Statement A |
| 60 Day Notice 3235-0275.pdf | Supplementary Document |
| 2021-26855.pdf | Supplementary Document |
| 30 day notice Rule 17ad-13.pdf | Supplementary Document |
| 60 day noitce for 17Ad-13.pdf | Supplementary Document |
 Exchange Act Rule 17Ad-13 (17 CFR 240.17Ad-13) Annual Study and evaluation of internal accounting control |
Information collection |