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 202008-3235-004
OMB: 3235-0214
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0214 can be found here:
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
12/10/2020
Requested
Previously Approved
36 Months From Approved
02/28/2021
6,016
6,680
2,616
2,893
4,412,362
4,837,925
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-17a Name of Law: Investment Company Act of 1940
The estimated burden hours
associated with rule 17a-7 has decreased from 2,893 burden hours to
2,616 burden hours. This decrease of 277 hours is primarily due to
a decrease in the number of existing funds and a decrease in the
number of new funds each year.
$0
No
No
No
No
No
No
No
Zeena Abdul-Rahman 202
551-4099
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.