RULE 15A-6, FOREIGN BROKER-DEALER EXEMPTION

ICR 198906-3235-001

OMB: 3235-0371

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
159530
Migrated
ICR Details
3235-0371 198906-3235-001
Historical Active
SEC
RULE 15A-6, FOREIGN BROKER-DEALER EXEMPTION
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 06/12/1989
Retrieve Notice of Action (NOA) 06/05/1989
  Inventory as of this Action Requested Previously Approved
06/30/1992 06/30/1992
2,000 0 0
6,000 0 0
0 0 0

RULE 15A-6 PROVIDES AN EXEMPTION FROM BROKER-DEALER REGISTRATION FOR FOREIGN BROKER-DEALERS THAT EFFECT TRADES FOR MAJOR U.S. INSTITUTIONAL INVESTORS THROUGH A U.S. BROKER-DEALER AFFILIATE, OR THAT LIMIT THEIR ACTIVITIES ENTIRELY TO CERTAIN NON U.S. PERSONS.

None
None


No

1
IC Title Form No. Form Name
RULE 15A-6, FOREIGN BROKER-DEALER EXEMPTION

  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 2,000 0 0 2,000 0 0
Annual Time Burden (Hours) 6,000 0 0 6,000 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
06/05/1989


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