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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 199001-3235-001 · OMB 3235-0123 · 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
158518 REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617) Migrated
ICR Details
3235-0123 199001-3235-001
Historical Active 198904-3235-005
SEC
REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617)
Reinstatement with change of a previously approved collection   No
Regular
Approved without change 04/06/1990
Retrieve Notice of Action (NOA) 01/17/1990
  Inventory as of this Action Requested Previously Approved
01/31/1993 01/31/1993
30,800 0 0
729,500 0 0
0 0 0
RULE 17A-5 AND FORM X-17A-5 ARE THE BASIC DOCUMENTS FOR REPORTING THE FINANCIAL OPERATIONAL CONDITION OF SECURITIES BROKERS AND DEALERS.
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)
  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 30,800 0 0 0 30,800 0
Annual Time Burden (Hours) 729,500 0 0 0 729,500 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.
01/17/1990