Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status

OMB 3235-0341

OMB 3235-0341

Rule 17Ad-4(b)&(c) is used to document when transfer agents are exempt or no longer exempt from certain of the Commission's transfer agent rules.

The latest form for Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status expires 2022-02-28 and can be found here.

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