60 day notice

SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From:
Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Washington, DC 20549-2736
Extension: Rule 17Ad-2(c), (d), and (h)
SEC File No. 270-149, OMB Control No. 3235-0130
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (“PRA”)
(44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (“Commission”) is soliciting
comments on the existing collection of information provided for in Rule 17Ad-2(c), (d), and (h),
(17 CFR 240.17Ad-2(c), (d), and (h)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a
et seq.). The Commission plans to submit this existing collection of information to the Office of
Management and Budget (“OMB”) for extension and approval.
Rule 17Ad-2(e),(d), and (h) enumerates the requirements with which transfer agents must
comply to inform the Commission or the appropriate regulator of a transfer agent's failure to
meet the minimum performance standards set by the Commission rule by filing a notice.
The Commission receives approximately 3 notices a year pursuant to Rule 17Ad-2(c),
(d), and (h). The estimated annual time burden of these filings on respondents is minimal in view
of: (a) the readily available nature of most of the information required to be included in the
notice (since that information must be compiled and retained pursuant to other Commission
rules); and (b) the summary fashion in which such information must be presented in the notice
(most notices are one page or less in length). In light of the above, and based on the experience
of the staff regarding the notices, the Commission staff estimates that, on average, most notices

require approximately one-half hour to prepare. Thus, the Commission staff estimates that the
industry-wide total time burden is approximately 1.5 hours.
Written comments are invited on: (a) whether the proposed collection of information is
necessary for the proper performance of the functions of the Commission, including whether the
information shall have practical utility; (b) the accuracy of the Commission's estimates of the
burden of the proposed collection of information; (c) ways to enhance the quality, utility, and
clarity of the information collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated collection techniques or
other forms of information technology. Consideration will be given to comments and
suggestions submitted in writing within 60 days of this publication.
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information under the PRA unless it displays a currently valid OMB control
number.
Please direct your written comments to: Charles Riddle, Acting Director/Chief
Information Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street,
NE Washington, DC 20549, or send an e-mail to: PRA_Mailbox@sec.gov.

EDUARDO
ALEMAN

Digitally signed by
EDUARDO ALEMAN
Date: 2018.12.10
15:04:28 -05'00'

Eduardo A. Aleman
Deputy Secretary

December 10, 2018