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Registration Of Successor To Registered Broker Or Dealer 17 Cfr 240.15b1-3
REGISTRATION OF SUCCESSOR TO REGISTERED BROKER OR DEALER 17 CFR 240.15B1-3
OMB: 3235-0011
IC ID: 157886
OMB.report
SEC
OMB 3235-0011
ICR 198306-3235-008
IC 157886
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0011 can be found here:
1991-03-15 - Extension without change of a currently approved collection
1988-03-14 - Extension without change of a currently approved collection
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
REGISTRATION OF SUCCESSOR TO REGISTERED BROKER OR DEALER 17 CFR 240.15B1-3
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Migrated
Obligation to Respond:
Mandatory
CFR Citation:
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Form
RULE NO. FOR
No
No
Form
17 CFR
No
No
Form
240.15B1-3
No
No
Form
RULE 15B1-3
No
No
Federal Enterprise Architecture Business Reference Module
Line of Business:
Subfunction:
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
100
Number of Respondents for Small Entity:
0
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
0 %
Approved
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
100
0
0
0
0
100
Annual IC Time Burden (Hours)
500
0
0
0
0
500
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.