REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. RULE 15BA2-4 (17 240.15BA2-4)

ICR 198904-3235-013

OMB: 3235-0089

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0089 198904-3235-013
Historical Active 198710-3235-026
SEC
REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. RULE 15BA2-4 (17 240.15BA2-4)
No material or nonsubstantive change to a currently approved collection   No
Emergency 04/06/1989
Approved with change 04/06/1989
Retrieve Notice of Action (NOA) 04/06/1989
  Inventory as of this Action Requested Previously Approved
12/31/1990 12/31/1990 12/31/1990
5 0 5
20 0 20
0 0 0

RULE 15BA2-4, ORIGINALLY ADOPTED JULY 4, 1976, PERMITS AN UNREGISTERED MUNICIPAL SECURITIES DEALER, WHICH SUCCEEDS TO THE BUSINESS OF AN EXISTING MUNICIPAL SECURITIES DEALER, TO CONTINUE THE BUSINESS OF ITS PREDECESSOR FOR 75 DAYS PROVIDED AN APPLICATION FOR REGISTRATION IS FILED WITHIN 30 DAYS OF THE DATE OF SUCCESSION.

None
None


No

1
IC Title Form No. Form Name
REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. RULE 15BA2-4 (17 240.15BA2-4)

  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) 20 20 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.
04/06/1989


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