RULE 15B1-3 (17 CFR 240.15B1-3) REGISTRATION OF SUCCESSOR TO REGISTERED BROKER-DEALER

ICR 198803-3235-001

OMB: 3235-0011

Federal Form Document

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ICR Details
3235-0011 198803-3235-001
Historical Active 198504-3235-003
SEC
RULE 15B1-3 (17 CFR 240.15B1-3) REGISTRATION OF SUCCESSOR TO REGISTERED BROKER-DEALER
Extension without change of a currently approved collection   No
Regular
Approved without change 04/12/1988
Retrieve Notice of Action (NOA) 03/14/1988
  Inventory as of this Action Requested Previously Approved
03/31/1991 03/31/1991 05/31/1988
50 0 50
150 0 150
0 0 0

THIS RULE AFFECTS BROKERS OR DEALERS THAT SUCCEED TO AND CONTINUE THE BUSINESS OF A REGISTERING BROKER OR DEALER. THE SUCCESSOR BROKER OR DEALER MUST SUBMIT AN AMENDMENT TO FORM BD WITHIN A SET TIME PERIOD IN ORDER TO INSURE THAT THE PREDECESSOR'S REGISTRATION REMAINS EFFECTIVE WHILE THE SUCCESSOR AWAITS REGISTRATION.

None
None


No

1
IC Title Form No. Form Name
RULE 15B1-3 (17 CFR 240.15B1-3) REGISTRATION OF SUCCESSOR TO REGISTERED BROKER-DEALER RULE 15B1-3

  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 50 50 0 0 0 0
Annual Time Burden (Hours) 150 150 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.
03/14/1988


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