SUPPLEMENTAL CURRENT FINANCIAL AND OPERATIONAL REPORTS TO CERTAIN EXCHANGE MEMBERS BROKERS AND DEALRS: RULE 17A-11(17 CFR 240.17A-11)

ICR 198408-3235-001

OMB: 3235-0085

Federal Form Document

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ICR Details
3235-0085 198408-3235-001
Historical Active 198108-3235-033
SEC
SUPPLEMENTAL CURRENT FINANCIAL AND OPERATIONAL REPORTS TO CERTAIN EXCHANGE MEMBERS BROKERS AND DEALRS: RULE 17A-11(17 CFR 240.17A-11)
Extension without change of a currently approved collection   No
Regular
Approved without change 09/25/1984
Retrieve Notice of Action (NOA) 08/07/1984
  Inventory as of this Action Requested Previously Approved
09/30/1987 09/30/1987 10/31/1984
1,200 0 1,200
6,600 0 6,600
0 0 0

RULE 17A-11 WAS ADOPTED IN 1971. THE RULE WAS DESIGNED TO SERVE AS AN "EARLY WARNING" MECHANISM BY WHICH THE COMMISSION AND THE SELF-REGULATORS WOULD BE MADE AWARE OF FIRMS THAT WERE STARTING TO EXPERIENCE FINANCIAL OR OPERATIONAL DIFFICULTIES. THE INFORMATION REQUESTED BY THE RULE WOULD ALLOW THE APPROPRIATE ACTION TO BE TAKE TO RECTIFY THE SITUATION AND PREVENT FURTHER PROBLEMS.

None
None


No

  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 1,200 1,200 0 0 0 0
Annual Time Burden (Hours) 6,600 6,600 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.
08/07/1984


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