RECORDKEEPING RULE FOR NATIONAL SECURITIES EXCHANGES AND NATIONAL SECURITIES ASSOCIATIONS (17 CFR 240.17A-1)

ICR 198910-3235-015

OMB: 3235-0208

Federal Form Document

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Name
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ICR Details
3235-0208 198910-3235-015
Historical Active 198609-3235-003
SEC
RECORDKEEPING RULE FOR NATIONAL SECURITIES EXCHANGES AND NATIONAL SECURITIES ASSOCIATIONS (17 CFR 240.17A-1)
Revision of a currently approved collection   No
Regular
Approved without change 01/16/1990
Retrieve Notice of Action (NOA) 10/23/1989
  Inventory as of this Action Requested Previously Approved
10/31/1992 10/31/1992 10/31/1989
30 0 30
1,500 0 1,500
0 0 0

RULE 17-A-1, ADOPTED ON MAY 17, 1974, REQUIRES THAT EVERY NATIONAL SECURITIES EXCHANGE AND NATIONAL SECURITIES ASSOCIATION KEEP ON FILE FOR A PERIOD OF FIVE YEARS, TWO YEARS IN AN ACCESSIBLE PLACE, ALL DOCUMENTS WHICH IT MAKES OR RECEIVES RESPECTING ITS SELF-REGULATORY ACTIVITIES AND THAT SUCH DOCUMENTS BE MADE AVAILABLE FOR EXAMINATION BY THE COMMISSION.

None
None


No

1
IC Title Form No. Form Name
RECORDKEEPING RULE FOR NATIONAL SECURITIES EXCHANGES AND NATIONAL SECURITIES ASSOCIATIONS (17 CFR 240.17A-1) 17A-1, RULE NO., 17 CFR, 240.17A-1, RULE

  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 30 30 0 0 0 0
Annual Time Burden (Hours) 1,500 1,500 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.
10/23/1989


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