NET CAPITAL REQUIREMENT FOR BROKERS OR DEALERS. RULE 15C3-1 (17 CFR 240.15C3-1)

ICR 198812-3235-010

OMB: 3235-0200

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0200 198812-3235-010
Historical Active 198704-3235-005
SEC
NET CAPITAL REQUIREMENT FOR BROKERS OR DEALERS. RULE 15C3-1 (17 CFR 240.15C3-1)
Revision of a currently approved collection   No
Regular
Approved without change 02/28/1989
Retrieve Notice of Action (NOA) 12/30/1988
  Inventory as of this Action Requested Previously Approved
02/28/1992 02/28/1992 06/30/1990
1,150 0 7,000
1,150 0 1,150
0 0 0

THE PURPOSE OF RULE 15C3-1 IS TO ENSURE THAT BROKERS AND DEALERS MAINTAIN SUFFICIENT AMOUNTS OF LIQUID ASSETS TO COVER THEIR CURRENT INDEBTEDNESS. THE RULE FACILITATES MONITORING THE FINANCIAL CONDITION OF SECURITIES BROKERS AND DEALERS BY THE COMMISSION AND THE VARIOUS SELF-REGULATORY ORGANIZATIONS.

None
None


No

1
IC Title Form No. Form Name
NET CAPITAL REQUIREMENT FOR BROKERS OR DEALERS. RULE 15C3-1 (17 CFR 240.15C3-1)

  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 1,150 7,000 0 -5,850 0 0
Annual Time Burden (Hours) 1,150 1,150 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.
12/30/1988


© 2024 OMB.report | Privacy Policy