RULE 15BA2-5 ADOPTED ON JULY 4, 1975,
PERMITS A COURT APPOINTED OR OTHER FIDUCIARY WHO SUCCEEDS TO THE
BUSINESS OF A MUNICIPAL SECURITIES DEALER TO ASSUME IMMEDIATE
RESPONSIBILITY FOR THE OPERATION OF THE MUNICIPAL SECURITIES
DEALER'S BUSINESS IF THE FIDUCIARY FILES A STATEMENT WITH THE
COMMISSION WITHIN 30 DAYS OF THE DATE THE FIDUCIARY ASSUMES ITS
DUTIES.
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.