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
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.