RULE 15C3-1 WAS AMENDED IN 1975 TO
CREATE A UNIFORM NET CAPITAL RULE APPLICABLE TO SUBSTANTIALLY ALL
BROKERS AND DEALERS. THE PURPOSE OF THE RULE IS TO ENSURE THAT
BROKERS AND DEALERS MAINTAIN SUFFICIENT AMOUNTS OF LIQUID ASSETS TO
COVER THEIR CURRENT INDEBTEDNESS.
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.