REPORTS BY NATIONAL SECURITIES EXCHANGES AND REGISTERED NATIONAL SECURITIES ASSOCIATIONS OF CHANGES IN MEMBERSHIP A. OF ANY OF THEIR MBR (17 CFR 240.17A-19 & 249.635)

ICR 198409-3235-009

OMB: 3235-0133

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0133 198409-3235-009
Historical Active 198109-3235-039
SEC
REPORTS BY NATIONAL SECURITIES EXCHANGES AND REGISTERED NATIONAL SECURITIES ASSOCIATIONS OF CHANGES IN MEMBERSHIP A. OF ANY OF THEIR MBR (17 CFR 240.17A-19 & 249.635)
Extension without change of a currently approved collection   No
Regular
Approved without change 10/15/1984
Retrieve Notice of Action (NOA) 09/05/1984
  Inventory as of this Action Requested Previously Approved
10/31/1987 10/31/1987 11/30/1984
3,600 0 3,600
900 0 900
0 0 0

RULE 17A-19 AND FORM X-17A-19 WERE ADOPTED IN 1974. THE RULE AND RELATED FORM WERE DESIGNED TO FACILITATE THE PROGRAM IN WHICH A BROKER-DEALER WOULD BE EXAMINED BY AND REPORT TO ONLY ONE SELF REGULATORY ORGANIZATION. THE FORM WAS TO BE FILED WHENEVER A CHANGE I MEMBERSHIP STATUS OCCURRED, THEREBY GIVING NOTICE TO THE COMMISSION SO THAT THE EXAMINING AUTHORITY COULD BE REDESIGNATED, IF NECESSARY.

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 3,600 3,600 0 0 0 0
Annual Time Burden (Hours) 900 900 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.
09/05/1984


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