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Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.
OMB 3235-0214 · SEC.
OMB 3235-0214
Rule 17a-7 requires various records to be kept in connection with certain purchase or sale transaction between registered investment companies and certain of their affiliates to facilitate the Commission's monitoring of transactions executed under the rule.
The latest form for Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof. expires 2026-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0214.pdf
Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof. All Historical Document Collections