OMB control number
Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards.
OMB 3235-0473 · SEC.
OMB 3235-0473
Rule 17Ad-3(b) informs issuers of a transfer agent's failure to meet minimum performance standards established pursuant to Rule 17Ad-2. This notice serves to alert issuers to the problem and allows them to monitor or take remedial action.
The latest form for Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards. expires 2026-12-31 and is listed under ICR 202307-3235-016.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0473.pdf | Supplementary Document |
| 3235-0473.pdf | Supplementary Document |
| Rule 17Ad-3(b) supporting statement 2023 DGL REVISED.pdf | Supporting Statement A |
| 3235-0473 30 Day Notice.pdf | Supplementary Document |
| 3235-0473 60 Day Notice.pdf | Supplementary Document |
 Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards. |
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