RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6

ICR 198110-3235-046

OMB: 3235-0188

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
158849
Migrated
ICR Details
3235-0188 198110-3235-046
Historical Active
SEC
RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 12/11/1981
Retrieve Notice of Action (NOA) 10/27/1981
  Inventory as of this Action Requested Previously Approved
12/31/1982 12/31/1982
112,500 0 0
450,000 0 0
0 0 0

RULE 15B10-6, ADOPTED JULY 27, 1967, REQURIRES COVERED ENTITIES (SEE NUMBER 23 BELOW) TO MAKE AND MAINTAIN CUSTOMER ACCOUNT RECORDS INCLUDING INFORMATION ON CUSTOMER IDENTITY, TRANSACTION RECOMMENDATION DISCRETIONARY AUTHORITY AND COMPLAINTS. THIS INFORMATION IS USED TO ENSURE THAT THE ENTITIES EFFECT SECURITIES TRANSACTIONS ONLY ACCORDING TO THEIR CUSTOMERS' DECISIONS.

None
None


No

1
IC Title Form No. Form Name
RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6

  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 112,500 0 0 0 112,500 0
Annual Time Burden (Hours) 450,000 0 0 0 450,000 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.
10/27/1981


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