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 can be found here.
Latest Forms, Documents, and Supporting Material
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
89 FR 87918 (OMB 3235-0341).pdf
Notices that are filed or prepared for TAs whose ARA is the SEC All Historical Document Collections