Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
34781	Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents	Migrated

ICR Details

OMB Control No: 3235-0291	ICR Reference No: 200108-3235-011
Status: Historical Inactive	Previous ICR Reference No: 199808-3235-005
Agency/Subagency: SEC	Agency Tracking No:
Title: Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Withdrawn and continue	Conclusion Date: 10/29/2001
	Date Received in OIRA: 08/29/2001
Terms of Clearance: In accordance with 5 CFR 1320, this information collection has been withdrawn. Upon resubmission, the agency should address the existing terms of clearance. The existing terms of clearance require the agency to review the recordkeeping requirement and include any nonhour costs associated with the requirement, including, for example, the additional rent necessary to accomodate the additional storage.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2001	10/31/2004	04/30/2002
Responses	1,248	0	1,248
Time Burden (Hours)	599,040	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: 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 ("ARAs") to examine those transfer agents for complaince with Commission's rules. The Commission and other ARAs 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

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rules 17Ad-6, 17 CFR 240, 17Ad-7, 17 CFR 240.17Ad-7: Record- keeping Requirements for Registered Transfer Agents

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/29/2001

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