OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Additional records to be made and retained by brokers or dealers in securities (31 CFR 103.35 and 103.38).

ICR 201008-1506-013 · OMB 1506-0053 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
PRA-83iSupplemental2010 103.35 & 38.doc Supporting Statement A Uploaded 2010-08-25 Available
IC Document Collections
IC IDCollectionTypeStatusForm
194405 Additional records to be made and retained by brokers or dealers in securities New
ICR Details
1506-0053 201008-1506-013
Historical Active
TREAS/FINCEN
Additional records to be made and retained by brokers or dealers in securities (31 CFR 103.35 and 103.38).
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 11/09/2010
Retrieve Notice of Action (NOA) 09/10/2010
  Inventory as of this Action Requested Previously Approved
08/31/2011 08/31/2011
8,300 0 0
830,000 0 0
0 0 0
A broker or dealer in securities must retain an original or copy of certain documents, as specified in section 103.35. The required records must be maintained for five years (31 CFR 103.38). This action reallocates already approved burden from 1506-0009 to a new control number.
US Code: 31 USC 5311-5330 Name of Law: Money nad Finance
  
None
Not associated with rulemaking
  73 FR 5628 01/30/2008
75 FR 54422 09/07/2010
No
1
IC Title Form No. Form Name
Additional records to be made and retained by brokers or dealers in securities
  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 8,300 0 0 8,300 0 0
Annual Time Burden (Hours) 830,000 0 0 830,000 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
No
This action reallocates currently approved burden from 1506-0009 to this new control nember
No
No
No
No
No
Uncollected
Russell Stephenson 202 354-6012
  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.
09/10/2010