ANNUAL ASSESSMENTS FOR SECO BROKERS AND DEALERS, (17 CFR 240.15B9-2), FORM SECO-4-81 (17 CFR 249.5040)

ICR 198110-3235-007

OMB: 3235-0146

Federal Form Document

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ICR Details
3235-0146 198110-3235-007
Historical Active
SEC
ANNUAL ASSESSMENTS FOR SECO BROKERS AND DEALERS, (17 CFR 240.15B9-2), FORM SECO-4-81 (17 CFR 249.5040)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 11/16/1981
Retrieve Notice of Action (NOA) 10/08/1981
  Inventory as of this Action Requested Previously Approved
11/30/1984 11/30/1984
400 0 0
600 0 0
0 0 0

RULE 15B9-2, ADOPTED IN 1968, SETS FORTH THE ANNUAL ASSESSMENT PAYABLE TO THE COMMISSION BY BROKER-DEALERS NOT MEMBERS OF A REGISTERED NATION SECURITIES ASSOCIATION. FORM SECO-4-81, ADOPTED IN 1981, SOLICITS THE ASSESSMENT NECESSARY TO DEFRAY THE COSTS OF ADDITIONAL REGULATORY DUTI REQUIRED TO BE PERFORMED WITH RESPECT TO THESE BROKER-DEALERS.

None
None


No

1
IC Title Form No. Form Name
ANNUAL ASSESSMENTS FOR SECO BROKERS AND DEALERS, (17 CFR 240.15B9-2), FORM SECO-4-81 (17 CFR 249.5040)

  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 400 0 0 0 400 0
Annual Time Burden (Hours) 600 0 0 0 600 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.
10/08/1981


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