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.
ICR 202308-3235-004 · OMB 3235-0214 · Received in OIRA
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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.
Extension without change of a currently approved collection
No
Regular
11/13/2023
Requested
Previously Approved
36 Months From Approved
03/31/2024
4,840
6,016
2,225
2,616
4,065,050
4,412,362
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.
US Code:
15 USC 80a
Name of Law: Investment Company Act of 1940
The estimated burden hours associated with rule 17a-7 has decreased from 2,616 burden hours to 2,225 burden hours. This decrease of 391 hours is primarily due to a decrease in the number of currently active funds and a decrease in the number of new funds each year.
$0
No
No
No
No
No
No
No
David Driscoll 202 551-4706
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.
3235-0214.pdf
Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.