CUSTOMER STATEMENTS UNDER SECURITIES EXCHANGE ACT OF 1934 (17 CFR 240.17A-5(C))

ICR 198110-3235-057

OMB: 3235-0199

Federal Form Document

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ICR Details
3235-0199 198110-3235-057
Historical Active
SEC
CUSTOMER STATEMENTS UNDER SECURITIES EXCHANGE ACT OF 1934 (17 CFR 240.17A-5(C))
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
08/31/1982 08/31/1982
3,000,000 0 0
50,000 0 0
0 0 0

RULE 17A-5 WAS ADOPTED IN 1942. PARAGRAPH (C) OF RULE 17A-5 SETS FORT THE STATEMENTS WHICH MUST BE SENT TO PUBLIC CUSTOMERS OF BROKERS AND DEALERS. THE PRIMARY PURPOSE OF RULE 17A-5(C)(EXHIBIT A) IS TO GIVE T PUBLIC CUSTOMERS OF A BROKER-DEALER A CLEAR INDICATION OF THE FINANCIA CONDITION OF THE BROKER-DEALER AND CONVEY SIMILAR INFORMATION TO THE COMMISSION AND SELF REGULATORY ORGANIZATIONS.

None
None


No

1
IC Title Form No. Form Name
CUSTOMER STATEMENTS UNDER SECURITIES EXCHANGE ACT OF 1934 (17 CFR 240.17A-5(C))

  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 3,000,000 0 0 0 3,000,000 0
Annual Time Burden (Hours) 50,000 0 0 0 50,000 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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