APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN AFFILIATED SECURITIES ASSOCIATION - RULE 15AA-1 AND FORM X-15AA-1.

ICR 198107-3235-008

OMB: 3235-0030

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0030 198107-3235-008
Historical Active
SEC
APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN AFFILIATED SECURITIES ASSOCIATION - RULE 15AA-1 AND FORM X-15AA-1.
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 09/14/1981
Retrieve Notice of Action (NOA) 07/21/1981
  Inventory as of this Action Requested Previously Approved
09/30/1984 09/30/1984
1 0 0
150 0 0
0 0 0

UNDER SECTIONS 15A AND 19 OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "ACT"), THE COMMISSION MUST MAKE CERTAIN SPECIFIED FINDINGS BEFORE IT CAN GRANT AN APPLICATION FOR REGISTRATION AS A NATIONAL SECURITIES ASSOCIATION OR AS AN AFFILIATED SECURITIES ASSOCIATION. RULE 15AA-1 AND FORM X-15AA-1, ADOPTED IN 1939, ARE DESIGNED TO PROVIDE THE COMMISSION WITH INFORMATION WHICH IS NECESSARY TO ENABLE IT TO MAKE TH REQUIRED FINDINGS.

None
None


No

1
IC Title Form No. Form Name
APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN AFFILIATED SECURITIES ASSOCIATION - RULE 15AA-1 AND FORM X-15AA-1. 15AA-1, X-15AA-1, 893

  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 1 0 0 0 1 0
Annual Time Burden (Hours) 150 0 0 0 150 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.
07/21/1981


© 2024 OMB.report | Privacy Policy