RECORDS OF NON-RESIDENT BROKERS AND DEALERS. RULE 17A-7 (17 CFR 240.17A-79

ICR 198109-3235-036

OMB: 3235-0131

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0131 198109-3235-036
Historical Active
SEC
RECORDS OF NON-RESIDENT BROKERS AND DEALERS. RULE 17A-7 (17 CFR 240.17A-79
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 11/16/1981
Retrieve Notice of Action (NOA) 09/29/1981
  Inventory as of this Action Requested Previously Approved
11/30/1984 11/30/1984
1 0 0
1 0 0
0 0 0

RULE 17A-7 WAS ADOPTED IN 1956 AND REQUIRES FOREIGN BROKER-DEALERS REGISTERING OR REGISTERED WITH THE COMMISSION TO MAINTAIN COPIES OF THEIR BOOKS AND RECORDS IN THE UNITED STATES OR TO FILE AN UNDERTAKING AGREEING TO MAKE THEM AVAILABLE UPON REQUEST.

None
None


No

1
IC Title Form No. Form Name
RECORDS OF NON-RESIDENT BROKERS AND DEALERS. RULE 17A-7 (17 CFR 240.17A-79 RULE NO. 17, CFR 240., 17A-7

  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) 1 0 0 0 1 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.
09/29/1981


© 2024 OMB.report | Privacy Policy