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 1023.410 & 1010.430)

ICR 201709-1506-009 · OMB 1506-0053 · Active

Forms and Documents
DocumentTypeStatusAvailability
1506-0053 PRA-83iSupporting2017 1023.410 1010.430 (9-15-17).docx Supporting Statement A Uploaded 2017-09-15 Available
IC Document Collections
IC IDCollectionTypeStatusForm
194405 Additional records to be made and retained by brokers or dealers in securities Modified
ICR Details
1506-0053 201709-1506-009
Active 201407-1506-007
TREAS/FINCEN
Additional records to be made and retained by brokers or dealers in securities (31 CFR 1023.410 & 1010.430)
Extension without change of a currently approved collection   No
Regular
Approved without change 02/21/2018
Retrieve Notice of Action (NOA) 11/30/2017
  Inventory as of this Action Requested Previously Approved
02/28/2021 36 Months From Approved 02/28/2018
8,300 0 8,300
830,000 0 830,000
0 0 0
A broker or dealer in securities must retain an original or copy of certain documents, as specified in section 1023.410. The required records must be maintained for five years (31 CFR 1010.430).
US Code: 31 USC 5311-5330 Name of Law: Money nad Finance
  
None
Not associated with rulemaking
  82 FR 31686 07/07/2017
82 FR 56325 11/28/2017
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 8,300 0 0 0 0
Annual Time Burden (Hours) 830,000 830,000 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
    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.
11/30/2017