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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0341 · SEC.

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 2028-01-31 and is listed under ICR 202408-3235-008.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
89 FR 87918 (OMB 3235-0341).pdf Supplementary Document
89 FR 68216 (OMB 3235-0341).pdf Supplementary Document
2024 17Ad-4(b) (c) Supporting Statement 8.19.pdfSupporting Statement A
Notices that are filed or prepared for TAs whose ARA is the SEC Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202408-3235-008 Extension without change of a currently approved collection 2024-11-05
202111-3235-001 Extension without change of a currently approved collection 2022-01-11 Approved without change
201810-3235-016 Extension without change of a currently approved collection 2018-12-20 Approved without change
201509-3235-002 Extension without change of a currently approved collection 2015-10-28 Approved without change
201206-3235-007 Extension without change of a currently approved collection 2012-09-05 Approved without change
200909-3235-015 Extension without change of a currently approved collection 2009-09-29 Approved without change
200612-3235-002 Revision of a currently approved collection 2006-12-11 Approved without change
200311-3235-006 Extension without change of a currently approved collection 2003-11-25 Approved without change
200007-3235-002 Extension without change of a currently approved collection 2000-07-11 Approved without change
199707-3235-012 Extension without change of a currently approved collection 1997-07-31 Approved without change
199408-3235-008 Revision of a currently approved collection 1994-08-08 Approved without change
199111-3235-003 Revision of a currently approved collection 1991-11-15 Approved without change
198901-3235-005 Revision of a currently approved collection 1989-01-31 Approved without change
198601-3235-005 New collection (Request for a new OMB Control Number) 1986-01-21 Approved without change