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 202603-3235-016 · OMB 3235-0214 · Received in OIRA
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
06/01/2026
Requested
Previously Approved
36 Months From Approved
12/31/2026
446
4,840
2,230
2,225
1,659,120
4,065,050
Rule 17a-7 (17 CFR 270.17a-7) under the Investment Company Act of 1940 provides an exemption from section 17(a) of the Act for certain purchases and sales of securities between registered investment companies and certain affiliates. The rule requires various records to be kept by registered investment companies that engage in transactions under the rule. The investment company must make these records available to the Commission or any representative of the Commission at any time and from time to time for reasonable periodic, special or other examination.
US Code:
15 USC 80a
Name of Law: Investment Company Act of 1940
The estimated total annual hour burden for rule 17a-7 has increased from 2,225 hours to 2,230 hours (an increase of 5 hours). These estimated changes in the calculation methodology, number of affected entities, and in the external cost associated with the information collection requirements.
$0
No
No
No
No
No
No
No
Y. Rachel Kuo 202 551-3589
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_30-Day Submission Notice.pdf.pdf
Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.