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Federal forms, ICRs, and supporting documents

Information Collection Request

RULE 17A-5 UNDER SECURITIES EXCHANGE ACT OF 1934. REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS (17 CFR 240.17A-5) (17 CFR 249.617)

ICR 198211-3235-016 · OMB 3235-0123 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
158515 RULE 17A-5 UNDER SECURITIES EXCHANGE ACT OF 1934. REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS (17 CFR 240.17A-5) (17 CFR 249.617) Form Migrated
ICR Details
3235-0123 198211-3235-016
Historical Active 198109-3235-026
SEC
RULE 17A-5 UNDER SECURITIES EXCHANGE ACT OF 1934. REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS (17 CFR 240.17A-5) (17 CFR 249.617)
Extension without change of a currently approved collection   No
Regular
Approved without change 02/09/1983
Retrieve Notice of Action (NOA) 11/16/1982
  Inventory as of this Action Requested Previously Approved
02/28/1986 02/28/1986 11/30/1982
53,000 0 53,000
636,000 0 636,000
0 0 0
RULE 17A-5 AND FORM X-17A-5 WERE ADOPTED IN 1942. FORM X-17A-5 WAS REPLACED BY THE CURRENT FORM X-17A-5 IN 1975. THE RULE AND RELATED FORM ARE THE BASIC DOCUMENTS FOR REPORTING THE FINANCIAL AND OPERATIONAL CONDITION OF BROKERS AND DEALERS.
None
None
No
1
IC Title Form No. Form Name
RULE 17A-5 UNDER SECURITIES EXCHANGE ACT OF 1934. REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS (17 CFR 240.17A-5) (17 CFR 249.617) 17 CFR 240., 17A-5:, RULE 17A-5, FORM X-17A-5
  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 53,000 53,000 0 0 0 0
Annual Time Burden (Hours) 636,000 636,000 0 0 0 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.
11/16/1982