OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)

ICR 198910-3235-018 · OMB 3235-0279 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
159242 RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4) Migrated
ICR Details
3235-0279 198910-3235-018
Historical Active 198908-3235-023
SEC
RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)
Reinstatement with change of a previously approved collection   No
Regular
Approved without change 01/16/1990
Retrieve Notice of Action (NOA) 10/26/1989
  Inventory as of this Action Requested Previously Approved
10/31/1992 10/31/1992
8,800 0 0
2,200,000 0 0
0 0 0
RULE 17A-4 IS NECESSARY TO ENSURE THAT BROKER-DEALERS ARE PRESERVING BOOKS AND RECORDS REQUIRED TO BE MADE BY RULE 17A-3 AND OTHER COMMISSION RULES. WITHOUT RULE 17A-4 THE COMMISSION WOULD HAVE DIFFICULTY IN DETERMINING WHETHER BROKER-DEALERS ARE IN COMPLIANCE WITH OTHER COMMISSION RULES.
None
None
No
1
IC Title Form No. Form Name
RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)
  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 8,800 0 0 0 8,800 0
Annual Time Burden (Hours) 2,200,000 0 0 0 2,200,000 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.
10/26/1989