Rule 17a-6 Exemption for transactions with portfolio affiliates

ICR 201103-3235-007

OMB: 3235-0564

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2011-03-09
Supporting Statement A
2011-03-09
IC Document Collections
IC ID
Document
Title
Status
35401
Modified
ICR Details
3235-0564 201103-3235-007
Historical Active 200708-3235-038
SEC IM-270-506
Rule 17a-6 Exemption for transactions with portfolio affiliates
Extension without change of a currently approved collection   No
Regular
Approved without change 05/05/2011
Retrieve Notice of Action (NOA) 03/10/2011
  Inventory as of this Action Requested Previously Approved
05/31/2014 36 Months From Approved 07/31/2011
1 0 1
1 0 1
0 0 0

Rule 17a-6 permits a registered investment company ("fund") and its portfolio affiliates to engage in principal transactions that would otherwise be prohibited. To rely on the exemptive relief, a fund's board of directors must determine whether certain parties to the transaction have material financial interests. The board's findings must be noted in the board minutes and maintained in accordance with established recordkeeping rules.

US Code: 15 USC 80a Name of Law: Investment Company Act of 1940
  
None

Not associated with rulemaking

  75 FR 81681 12/28/2010
76 FR 11826 03/03/2011
No

1
IC Title Form No. Form Name
Exemption for transactions with portfolio affiliates

  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 1 1 0 0 0 0
Annual Time Burden (Hours) 1 1 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Daniel Chang 2025516792 changd@sec.gov

  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.
03/10/2011


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