REGISTRATION OF FIDUCIARIES AS BROKER-DEALERS, 17 CFR 240. 15B1-4

ICR 198607-3235-002

OMB: 3235-0016

Federal Form Document

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Document
Name
Status
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IC Document Collections
ICR Details
3235-0016 198607-3235-002
Historical Active 198306-3235-005
SEC
REGISTRATION OF FIDUCIARIES AS BROKER-DEALERS, 17 CFR 240. 15B1-4
Extension without change of a currently approved collection   No
Regular
Approved without change 08/04/1986
Retrieve Notice of Action (NOA) 07/07/1986
  Inventory as of this Action Requested Previously Approved
08/31/1989 08/31/1989 08/31/1986
5 0 5
25 0 25
0 0 0

RULE 15B1-4, ORIGINALLY ADOPTED ON OCTOBER 7, 1936, PERMITS A COURT APPOINTED OR QUALIFIED FIDUCIARY WHO SUCCEEDS TO THE BUSINESS OF A REGISTERED SECURITIES BROKER OR DEALER TO ASSUME IMMEDIATE RESPONSIBILITY FOR THE OPERATION OF THE BROKER-DEALER'S BUSINESS IF THE FIDUCIARY FILES A STATEMENT WITH THE COMMISSION WITHIN 30 DAYS OF THE DATE HE ASSUMES HIS DUTIES. WITHOUT THE RULE THE FICUCIARY

None
None


No

1
IC Title Form No. Form Name
REGISTRATION OF FIDUCIARIES AS BROKER-DEALERS, 17 CFR 240. 15B1-4 240.15B1-4, RULE 15B1-4, RULE NO. FOR, 17 CFR

  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) 25 25 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.
07/07/1986


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