Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards.

OMB 3235-0473

OMB 3235-0473

Rule 17Ad-3(b) informs issuers of a transfer agent's failure to meet minimum performance standards established pursuant to Rule 17Ad-2. This notice serves to alert issuers to the problem and allows them to monitor or take remedial action.

The latest form for Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards. expires 2021-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
Supplementary Document
Supplementary Document
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2023-10-05
Extension without change of a currently approved collection 2020-11-17
Approved without change
 Extension without change of a currently approved collection 2017-09-19
Approved without change
 Extension without change of a currently approved collection 2014-07-15
Approved without change
 Extension without change of a currently approved collection 2011-07-05
Approved without change
 Extension without change of a currently approved collection 2008-09-15
Approved without change
 Extension without change of a currently approved collection 2005-09-20
Approved without change
 Extension without change of a currently approved collection 2002-08-09
Approved without change
 Extension without change of a currently approved collection 1999-08-17
Approved without change
 Existing collection in use without an OMB Control Number 1996-09-26
© 2024 OMB.report | Privacy Policy