Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.

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.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0214 can be found here:

Documents and Forms

Document Name Document Type
EDGAR PIA_Redacted.pdf EDGAR PIA IC Document

Information Collection (IC) Details

IC Title:	Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.	Agency IC Tracking Number:	270-238

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 270.17a7

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 835	Number of Respondents for Small Entity: 102

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	6,680	-368	7,048
Annual IC Time Burden (Hours)	2,893	-310	3,203
Annual IC Cost Burden (Dollars)	4,837,925	4,837,925	0

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA	EDGAR PIA_Redacted.pdf	01/08/2015

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.