REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. 17 CFR 240.15BA2-4

ICR 198408-3235-007

OMB: 3235-0089

Federal Form Document

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ICR Details
3235-0089 198408-3235-007
Historical Active 198108-3235-037
SEC
REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. 17 CFR 240.15BA2-4
Extension without change of a currently approved collection   No
Regular
Approved without change 10/01/1984
Retrieve Notice of Action (NOA) 08/07/1984
  Inventory as of this Action Requested Previously Approved
10/31/1987 10/31/1987 10/31/1984
5 0 5
20 0 20
0 0 0

RULE 15BA2-4, ORIGINALLY ADOPTED JULY 14, 1976, PERMITS AN UNREGISTERED MUNICIPAL SECURITIES DEALER, WHICH SUCCEEDS TO THE BUSINE OF AN EXISTING MUNICIPAL SECURITIES DEALER, TO CONTINUE THE BUSINESS O ITS PREDECESSOR FOR 75 DAYS IF AN APPLICATION FOR REGISTRATION IS FILE WITHIN 30 DAYS OF THE DATE SUCCESSION. WITHOUT THE RULE, THE SUCCESSO COULD NOT CONTINUE THE BUSINESS OF ITS PREDECESSOR UNTIL THE SUCCESSOR REGISTRATION HAD BEEN APPROVED BY THE COMMISSION.

None
None


No

1
IC Title Form No. Form Name
REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. 17 CFR 240.15BA2-4

  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 5 5 0 0 0 0
Annual Time Burden (Hours) 20 20 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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