By 6/30/83, the
Commission will provide complete justification for imposing a
retention period of more than four years for any recordkeep ing
requirement contained in this information collection.
Inventory as of this Action
Requested
Previously Approved
10/31/1983
10/31/1983
1,750,000
0
0
1,750,000
0
0
0
0
0
RULE 17A-4 IS NECESSARY TO ENSURE THAT
BROKER-DEALERS ARE PRESERVING BOOKS AND RECORDS REQUIRED TO BE MADE
BY RULE 17A-3 AND OTHER COMMISSI RULES. WITHOUT RULE 17A-4, THE
COMMISSION WOULD HAVE DIFFICULTY IN DETERMINING WHETHER
BROKER-DEALERS ARE IN COMPLIANCE WITH OTHER COMMISSION RULES,
PARTICULARLY THE ANTI-FRAUD AND ANTI-MANIPULATIVE RULES.
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.