RULE 15BA2-5, ADOPTED ON JULY 14,
1975, PERMITS A COURT-APPOINTED OR OTHER FIDUCIARY WHO SUCCEEDS TO
THE BUSINESS OF A MUNICIPAL SECURITIES DEALER TO ASSUME IMMEDIATE
RESPONSIBILITY FOR THE OPERATION OF THE MUNICIPAL SECURITIES
DEALER'S BUSINSS IF THE FIDUCIARY FILES AS STATEMENT WITH THE
COMMISSION WITHIN 30 DAYS OF THE DATE THE FIDUCIARY ASSUMES ITS
DUTIES. WITHOUT THE RULE, THE FIDUCIARY COULD NOT ASSUME
RESPONSIBILITY UNTIL IT REGISTERED WITH THE COMMISSION.
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.