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Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 17a-5; Reports to be made by certain brokers and dealers

ICR 200310-3235-028 · 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
34399 Rule 17a-5; Reports to be made by certain brokers and dealers Migrated
ICR Details
3235-0123 200310-3235-028
Historical Active 200108-3235-005
SEC
Rule 17a-5; Reports to be made by certain brokers and dealers
Revision of a currently approved collection   No
Regular
Approved without change 01/06/2004
Retrieve Notice of Action (NOA) 10/30/2003
  Inventory as of this Action Requested Previously Approved
01/31/2007 01/31/2007 10/31/2004
34,887 0 33,870
417,780 0 406,440
0 0 0
Rule 17a-5 and Form X-17A-5 provide for the basic documents for reporting the financial and operational condition of securities brokers and dealers.
None
None
No
1
IC Title Form No. Form Name
Rule 17a-5; Reports to be made by certain brokers and dealers
  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 34,887 33,870 0 1,017 0 0
Annual Time Burden (Hours) 417,780 406,440 0 11,340 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
10/30/2003