RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)

ICR 198211-3235-017

OMB: 3235-0279

Federal Form Document

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ICR Details
3235-0279 198211-3235-017
Historical Active
SEC
RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 02/09/1983
Retrieve Notice of Action (NOA) 11/16/1982
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.

None
None


No

1
IC Title Form No. Form Name
RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4) 17 CFR, 240.17A, -4, 17A-4

  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 1,750,000 0 0 1,750,000 0 0
Annual Time Burden (Hours) 1,750,000 0 0 1,750,000 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
11/16/1982


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