Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)
ICR 200911-3235-016 · OMB 3235-0274 · Historical Active
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0274 can be found here:
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)
Extension without change of a currently approved collection
Rule 17Ad-11 requires transfer agents to report to issuers and the appropriate regulatory agency in the event that aged record differences exceed certain dollar value thresholds.
US Code:
15 USC 78q-1(d)
Name of Law: Securities Exchange Act of 1934
The reduction in the estimated respondent reporting and total annualized cost burdens from the previous submission in 2006 is attributable to the decrease in the number of reports that the Commission estimates the ARAs receive annually (approximately 100 in 2006 to approximately 30 in 2009).
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.
2009 Rule17Ad-11 supporting statement.doc
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)