CUSTOMER PROTECTION - RESERVES AND CUSTODY OF SECURITIES SECURITIES EXCHANGE ACT OF 1934 RULE 15C3-3 (17 CFR 240.15C3-3)

ICR 198704-3235-003

OMB: 3235-0078

Federal Form Document

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ICR Details
3235-0078 198704-3235-003
Historical Active 198402-3235-007
SEC
CUSTOMER PROTECTION - RESERVES AND CUSTODY OF SECURITIES SECURITIES EXCHANGE ACT OF 1934 RULE 15C3-3 (17 CFR 240.15C3-3)
Extension without change of a currently approved collection   No
Regular
Approved without change 06/23/1987
Retrieve Notice of Action (NOA) 04/15/1987
APPROVED. THIS REQUEST IS APPROVED THROUGH JUNE 30, 1988. THIS REQUEST HOWEVER, DOES NOT CONTAIN A REQUEST FOR APPROVAL OF PROPOSED RULE CHANGES THAT APPEARED IN THE 9/15/86 FEDERAL REGISTER ON PAGES 32658 32664. THIS RULE CHANGE APPEARS TO CONTAIN COLLECTIONS OF INFORMATION REQUIRING OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT. THEREFORE, THE SEC SHOULD PROVIDE OMB, NOT LATER THAN AUG. 1, 1987, WITH A REVISE CLEARENCE REQUEST THAT INCLUDES THIS COLLECTION OF INFORMATION OR AN EXPLANATION FOR NOT SEEKING OMB APPROVAL.
  Inventory as of this Action Requested Previously Approved
06/30/1988 06/30/1988 07/31/1987
44,000 0 44,000
110,000 0 110,000
0 0 0

RULE 15C3-3 WAS ADOPTED IN 1972 TO PROVIDE PROTECTION FOR AND INTEGRIT OF CUSTOMER FUNDS AND SECURITIES. THE RULE SETS FORTH STANDARDS FOR A BROKER DEALER'S ACCEPTANCE, CUSTODY AND USE OF CUSTOMERS SECURITIES AND THE MAINTENANCE OF RESERVES WITH RESPECT TO CUSTOMER DEPOSITS AND CREDIT BALANCES OF MONIES OBTAINED FROM THE USE OF CUSTOMER SECURITIES

None
None


No

1
IC Title Form No. Form Name
CUSTOMER PROTECTION - RESERVES AND CUSTODY OF SECURITIES SECURITIES EXCHANGE ACT OF 1934 RULE 15C3-3 (17 CFR 240.15C3-3) RULE 15C3-3, (17 CFR, 240.15C3-3)

  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 44,000 44,000 0 0 0 0
Annual Time Burden (Hours) 110,000 110,000 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.
04/15/1987


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