QUARTERLY SECURITY COUNTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS AND DEALERS. RULE 17A-13 (17 CFR 240.17 A-13)

ICR 198407-3235-017

OMB: 3235-0035

Federal Form Document

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ICR Details
3235-0035 198407-3235-017
Historical Active 198107-3235-014
SEC
QUARTERLY SECURITY COUNTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS AND DEALERS. RULE 17A-13 (17 CFR 240.17 A-13)
Revision of a currently approved collection   No
Regular
Approved without change 10/11/1984
Retrieve Notice of Action (NOA) 07/16/1984
  Inventory as of this Action Requested Previously Approved
10/31/1987 10/31/1987 09/30/1984
5,000 0 5,000
500,000 0 500,000
0 0 0

RULE 17A-13 WAS ADOPTED IN 1971. THE RULE WAS ADOPTED TO ENSURE THAT EACH BROKER AND DEALER HAS THE SECURITIES OF WHICH ITS RECORD SHOW IT HAS POSSESSION OR CONTROL, OR KNOWS WHERE THE SECURITIES ARE THAT IT SHOULD BE RECEIVING OR DELIVERING. IT IS AN INVENTORY CONTROL DEVICE. ANY SHORT DIFFERENCES MUST BE RECORDED IN THE RECORDS OF THE BROKER OR DEALER.

None
None


No

1
IC Title Form No. Form Name
QUARTERLY SECURITY COUNTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS AND DEALERS. RULE 17A-13 (17 CFR 240.17 A-13)

  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 5,000 5,000 0 0 0 0
Annual Time Burden (Hours) 500,000 500,000 0 0 0 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.
07/16/1984


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