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.

OMB 3235-0214

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.

The latest form for 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. expires 2021-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0214.pdf Supplementary Document
3235-0214.pdf Supplementary Document
Rule 17a-7_Supporting Statement (2023).pdf Supporting Statement A
Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.

All Historical Document Collections

202308-3235-004 Approved without change	Extension without change of a currently approved collection	2023-11-13
202008-3235-004	Extension without change of a currently approved collection	2020-12-10
201706-3235-027 Approved without change	Extension without change of a currently approved collection	2017-11-22
201410-3235-018 Approved without change	Extension without change of a currently approved collection	2015-01-08
201111-3235-018 Approved with change	Extension without change of a currently approved collection	2011-11-17
200809-3235-007 Approved without change	Extension without change of a currently approved collection	2008-12-31
200601-3235-003 Approved without change	Extension without change of a currently approved collection	2006-01-25
200212-3235-015 Approved without change	Extension without change of a currently approved collection	2002-12-20
200002-3235-005 Approved without change	Extension without change of a currently approved collection	2000-02-18
199701-3235-001 Approved without change	Extension without change of a currently approved collection	1997-01-02
199310-3235-004 Approved without change	Revision of a currently approved collection	1993-10-19
199102-3235-013 Approved without change	Revision of a currently approved collection	1991-02-05
198904-3235-043 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-25
198712-3235-011 Approved without change	Revision of a currently approved collection	1987-12-23
198412-3235-002 Approved without change	Revision of a currently approved collection	1984-12-07
198111-3235-011 Approved without change	New collection (Request for a new OMB Control Number)	1981-11-03