OMB control number
Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents
OMB 3235-0291 · SEC.
OMB 3235-0291
Rule 17Ad-6 is needed to (1) ensure that registered transfer agents maintain certain records that are necessary for the Commission to adequately monitor and assess their performance; and (2) to permit the appropriate regulatory agencies ("ARA'S") to examine those transfer agents for compliance with Commission's rules. The Commission and other ARA's use Rule 17Ad-6 records for inspection purposes. Rule 17Ad-7 is needed to ensure that registered transfer agents retain in an easily accessible place for a period of six months to one year all the records required to be made and kept current under the Commission's rules
The latest form for Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents expires 2027-07-31 and is listed under ICR 202402-3235-015.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0291.pdf | Supplementary Document |
| 3235-0291.pdf | Supplementary Document |
| Supporting Statement _ Rules 17Ad-6 and 7 2024 DGL REVISED.pdf | Supporting Statement A |
| 3235-0291 30 Day Notice.pdf | Supplementary Document |
| 3235-0291 60 Day Notice.pdf | Supplementary Document |
 Rules 17Ad-6 and 17Ad-7: Recordkeeping Requirements for Registered Transfer Agents |
Information collection |