Federal Register #2026-21632

SEC Information Collection Extension for Exchange Act Rule 17Ad-3(b)

The U.S. Securities and Exchange Commission (SEC) is seeking public comments on extending an information collection under Exchange Act Rule 17Ad-3(b). - Government buyer: U.S. Securities and Exchange Commission (SEC); no specific sub-agency or office is identified. - Requirement: Registered transfer agents that fail specified processing standards for two consecutive months must provide affected issuers with a copy of their notice of noncompliance. - Estimated burden: Approximately four hours annually, with about $1,320 in internal labor costs. - OEMs and vendors: None identified; no products or services are being requested.

Description

The Securities and Exchange Commission is requesting an extension of the information collection under Rule 17Ad-3(b) of the Securities Exchange Act of 1934. The rule requires a registered transfer agent that fails specified processing performance standards for two consecutive months to send issuers a copy of its notice of noncompliance within 20 business days. The notice invites public comments on the information collection request within 30 days of publication, by November 23, 2026. The Commission estimates the annual burden at approximately four hours and $1,320 in internal labor costs.

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