OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

RECORDS TO BE MADE BY BROKER-DEALERS RULE 17A-3 (17 CFR 240.17A-3)

ICR 198107-3235-012 · OMB 3235-0033 · Historical Active

Forms and Documents
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No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
157996 RECORDS TO BE MADE BY BROKER-DEALERS RULE 17A-3 (17 CFR 240.17A-3) Migrated
ICR Details
3235-0033 198107-3235-012
Historical Active
SEC
RECORDS TO BE MADE BY BROKER-DEALERS RULE 17A-3 (17 CFR 240.17A-3)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 09/14/1981
Retrieve Notice of Action (NOA) 07/21/1981
  Inventory as of this Action Requested Previously Approved
09/30/1984 09/30/1984
1,750,000 0 0
3,500,000 0 0
0 0 0
RULE 17A-3, WHICH TOOK EFFECT IN 1940, REQUIRES CERTAIN RECORDS TO BE MADE BY REGISTERED BROKER-DEALERS. THE RULE SERVES TO STANDARDIZE BUSINESS PRACTICES. THESE RECORDS ARE ESSENTIAL TO REGULATORY INVESTIGATIONS OR PROCEEDINGS AND ARE IMPORTANT FOR THE PROTECTION OF THE PUBLIC.
None
None
No
1
IC Title Form No. Form Name
RECORDS TO BE MADE BY BROKER-DEALERS RULE 17A-3 (17 CFR 240.17A-3)
  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 1,750,000 0 0 0 1,750,000 0
Annual Time Burden (Hours) 3,500,000 0 0 0 3,500,000 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
  No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
07/21/1981