Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control

OMB 3235-0275

Rule 17Ad-13 requires certain registered transfer agents to obtain an annual report prepared by an independent accountant that discusses the adequacy of the transfer agent's system of internal accounting control and related procedures for the transfer of record ownership and the safeguarding of related securities and funds.

The latest form for Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control expires 2022-03-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
89 FR 80980 (OMB 3235–0275).pdf Supplementary Document
89 FR 59944 (OMB 3235-0275).pdf Supplementary Document
Supporting Statement_Rule 17Ad-13 2024 DGL REVISED.pdf Supporting Statement A
60 Day Notice 3235-0275.pdf Supplementary Document
2021-26855.pdf Supplementary Document
30 day notice Rule 17ad-13.pdf Supplementary Document
60 day noitce for 17Ad-13.pdf Supplementary Document
Exchange Act Rule 17Ad-13 (17 CFR 240.17Ad-13) Annual Study and evaluation of internal accounting control

All Historical Document Collections

202407-3235-016	Extension without change of a currently approved collection	2024-10-08
202109-3235-015 Approved without change	Extension without change of a currently approved collection	2021-12-13
201808-3235-020 Approved without change	Extension without change of a currently approved collection	2019-01-29
201507-3235-015 Approved without change	Extension without change of a currently approved collection	2015-11-20
201210-3235-006 Approved without change	Extension without change of a currently approved collection	2012-12-21
200911-3235-017 Approved without change	Extension without change of a currently approved collection	2010-01-12
200701-3235-014 Approved without change	Extension without change of a currently approved collection	2007-03-19
200401-3235-005 Approved without change	Extension without change of a currently approved collection	2004-01-07
200011-3235-001 Approved without change	Extension without change of a currently approved collection	2000-11-02
199710-3235-006 Approved without change	Reinstatement with change of a previously approved collection	1997-10-10
199411-3235-014 Approved without change	Extension without change of a currently approved collection	1994-11-17
199111-3235-005 Approved without change	Extension without change of a currently approved collection	1991-11-15
198901-3235-004 Approved without change	Extension without change of a currently approved collection	1989-01-31
198601-3235-009 Approved without change	Revision of a currently approved collection	1986-01-28
198210-3235-001 Approved without change	New collection (Request for a new OMB Control Number)	1982-10-22