REGISTRATION OF FIDUCIARIES RULE 15BA2-5 (17 CFR 15BA2-5)

ICR 198108-3235-036

OMB: 3235-0088

Federal Form Document

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3235-0088 198108-3235-036
Historical Active
SEC
REGISTRATION OF FIDUCIARIES RULE 15BA2-5 (17 CFR 15BA2-5)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 10/20/1981
Retrieve Notice of Action (NOA) 08/26/1981
  Inventory as of this Action Requested Previously Approved
10/31/1984 10/31/1984
1 0 0
4 0 0
0 0 0

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.

None
None


No

1
IC Title Form No. Form Name
REGISTRATION OF FIDUCIARIES RULE 15BA2-5 (17 CFR 15BA2-5) 17 CFR 240., 15BA2-5

  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) 4 0 0 0 4 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.
08/26/1981


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