OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)

OMB 3235-0130 · SEC.

OMB 3235-0130

A notice filed under Rule 17Ad-2(c),(d), and (h) informs the Commission or the appropriate regulatory agency of a transfer agent's failure to meet the minimum performance standards set by the Commission rule. This notice alerts the Commission or other regulators to the problem, and allows it to monitor the situation and take remedial action, if needed.

The latest form for Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h) expires 2028-03-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
 Extension without change of a currently approved collection 2024-12-30
Approved without change
 Extension without change of a currently approved collection 2022-01-27
Approved without change
 Extension without change of a currently approved collection 2019-03-28
Approved without change
 Extension without change of a currently approved collection 2016-01-22
Approved without change
 Extension without change of a currently approved collection 2013-02-12
Approved without change
 Extension without change of a currently approved collection 2010-03-18
Approved without change
 Extension without change of a currently approved collection 2007-03-19
Approved without change
 Extension without change of a currently approved collection 2004-03-02
Approved without change
 Extension without change of a currently approved collection 2001-01-16
Approved without change
 Reinstatement with change of a previously approved collection 1998-02-25
Approved without change
 Revision of a currently approved collection 1994-12-30
Approved without change
 Extension without change of a currently approved collection 1993-08-26
Approved without change
 Reinstatement with change of a previously approved collection 1991-01-23
Approved without change
 Extension without change of a currently approved collection 1987-10-30
Approved without change
 Revision of a currently approved collection 1984-09-05
Approved without change
 New collection (Request for a new OMB Control Number) 1981-09-29