45 DAY EXEMPTION FROM REGISTRATION FOR CERTAIN MEMBERS OF NATIONAL SECURITIES EXCHANGES, 17 CFR 240.15A-4

ICR 198106-3235-002

OMB: 3235-0010

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0010 198106-3235-002
Historical Active
SEC
45 DAY EXEMPTION FROM REGISTRATION FOR CERTAIN MEMBERS OF NATIONAL SECURITIES EXCHANGES, 17 CFR 240.15A-4
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 08/10/1981
Retrieve Notice of Action (NOA) 06/16/1981
  Inventory as of this Action Requested Previously Approved
08/31/1983 08/31/1983
20 0 0
160 0 0
0 0 0

RULE 15A-4, ADOPTED ON APRIL 23, 1976, PERMITS A NATURAL PERSON MEMBER OF A SECURITIES EXCHANGE WHO TERMINATES HIS ASSOCIATION WITH A REGISTERED BROKER-DEALER TO CONTINUE TO DO BUSINESS ON THE EXCHANGE WHILE THE COMMISSION REVIEWS HIS APPLICATON FOR REGISTRATION AS A BROKER-DEALER IF THE EXCHANGE FILES A STATEMENT INDICATING THAT THERE DOES NOT APPEAR TO BE ANY GROUNDS FOR DISAPPROVING THE APPLICATION.

None
None


No

1
IC Title Form No. Form Name
45 DAY EXEMPTION FROM REGISTRATION FOR CERTAIN MEMBERS OF NATIONAL SECURITIES EXCHANGES, 17 CFR 240.15A-4

  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 0 0 20 0 0
Annual Time Burden (Hours) 160 0 0 160 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.
06/16/1981


© 2024 OMB.report | Privacy Policy