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Federal forms, ICRs, and supporting documents

Information Collection Request

REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617)

ICR 198904-3235-005 · OMB 3235-0123 · Historical Active

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IC IDCollectionTypeStatusForm
177317 REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617) Form Migrated
ICR Details
3235-0123 198904-3235-005
Historical Active 198704-3235-004
SEC
REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617)
No material or nonsubstantive change to a currently approved collection   No
Emergency 04/03/1989
Approved with change 04/03/1989
Retrieve Notice of Action (NOA) 04/03/1989
  Inventory as of this Action Requested Previously Approved
10/31/1989 10/31/1989 10/31/1989
61,600 0 61,600
739,200 0 739,200
0 0 0
RULE 17A-5 AND FORM X-17A-5 ARE THE BASIC TOOLS FOR REPORTING BROKER-DEALERS' FINANCIAL AND OPERATIONAL CONDITION
None
None
No
1
IC Title Form No. Form Name
REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617) SEC 410
  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 61,600 61,600 0 0 0 0
Annual Time Burden (Hours) 739,200 739,200 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.
04/03/1989