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Federal forms, ICRs, and supporting documents

Information Collection Request

Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers - Rule 17a-13 (CFR 240.17a-13)

ICR 199605-3235-017 · OMB 3235-0035 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
34098 Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers - Rule 17a-13 (CFR 240.17a-13) Migrated
ICR Details
3235-0035 199605-3235-017
Historical Active 199307-3235-002
SEC
Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers - Rule 17a-13 (CFR 240.17a-13)
Extension without change of a currently approved collection   No
Regular
Approved without change 06/20/1996
Retrieve Notice of Action (NOA) 05/15/1996
  Inventory as of this Action Requested Previously Approved
06/30/1999 06/30/1999 08/31/1996
20,000 0 5,000
500,000 0 500,000
0 0 0
Rule 17a-13 was adoped in 1971 to ensure that brokers and dealers possess or control securities as indicated in their records or that they know the location of those securities which they are to receive or deliver.
None
None
No
1
IC Title Form No. Form Name
Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers - Rule 17a-13 (CFR 240.17a-13)
  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 20,000 5,000 0 15,000 0 0
Annual Time Burden (Hours) 500,000 500,000 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.
05/15/1996