Rules 17Ad-6 and 17Ad-7: Recordkeeping Requirements for Registered Transfer Agents

Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0291 can be found here:

Documents and Forms

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no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rules 17Ad-6 and 17Ad-7: Recordkeeping Requirements for Registered Transfer Agents	Agency IC Tracking Number:	270-151

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17Ad-6 17 CFR 240.17Ad-7

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: 359	Number of Respondents for Small Entity: 86

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	359	-23	382
Annual IC Time Burden (Hours)	179,500	-11,500	191,000
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

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