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Federal forms, ICRs, and supporting documents

Information Collection Request

Investment Company Act rule 17a-7, 17 C.F.R. Sec. 270.17a-7, Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.

ICR 200212-3235-015 · OMB 3235-0214 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
34595 Investment Company Act rule 17a-7, 17 C.F.R. Sec. 270.17a-7, Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof. Migrated
ICR Details
3235-0214 200212-3235-015
Historical Active 200002-3235-005
SEC
Investment Company Act rule 17a-7, 17 C.F.R. Sec. 270.17a-7, Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.
Extension without change of a currently approved collection   No
Regular
Approved without change 03/27/2003
Retrieve Notice of Action (NOA) 12/20/2002
  Inventory as of this Action Requested Previously Approved
05/31/2006 05/31/2006 03/31/2003
8,000 0 750
2,000 0 1,500
0 0 0
Rule 17a-7 requires various records to be kept in connection with certain purchase or sale transactions between registered investment companies and certain of their affiliates to facilitate the Commission's monitoring of transactions executed under the rule.
None
None
No
  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 8,000 750 0 0 7,250 0
Annual Time Burden (Hours) 2,000 1,500 0 0 500 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
12/20/2002