DISCRETIONARY ACCOUNTS (17 CFR 15C 1-7)

ICR 198409-3235-012

OMB: 3235-0134

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
158577
Migrated
ICR Details
3235-0134 198409-3235-012
Historical Active 198109-3235-038
SEC
DISCRETIONARY ACCOUNTS (17 CFR 15C 1-7)
Revision 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
200,000 0 200,000
16,700 0 16,170
0 0 0

RULE 15C 1-7 WAS ADOPTED IN 1937. THE PURPOSE OF THE RULE IS TO PROVI A STANDARD TO DETERMINE WHETHER A TRANSACTION IS MANIPULATIVE OR FRAUDULENT AND TO ESTABLISH A MEANS TO ENSURE THAT ALL TRANSACTIONS OCCURING IN A DISCRETIONARY ACCOUNT ARE NOTED. THIS DISCOURAGES FRAUDULENT AND MANIPULATIVE PRACTICES AND PROVIDES A MEANS TO MONITOR FOR ILLEGAL PRACTICES.

None
None


No

1
IC Title Form No. Form Name
DISCRETIONARY ACCOUNTS (17 CFR 15C 1-7)

  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 200,000 200,000 0 0 0 0
Annual Time Burden (Hours) 16,700 16,170 0 0 530 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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