BROKER OR DEALER DISCLOSURE OF QUOTATIONS AND OTHER INFORMATION RELATING TO THE PENNY STOCK MARKET (17 CFR 240.15G-3)

ICR 199103-3235-008

OMB: 3235-0392

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0392 199103-3235-008
Historical Active
SEC
BROKER OR DEALER DISCLOSURE OF QUOTATIONS AND OTHER INFORMATION RELATING TO THE PENNY STOCK MARKET (17 CFR 240.15G-3)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 06/25/1991
Retrieve Notice of Action (NOA) 03/27/1991
  Inventory as of this Action Requested Previously Approved
05/31/1994 05/31/1994
1,620,000 0 0
27,000 0 0
0 0 0

RULE 15G-3 WOULD REQUIRE THAT BROKERS AND DEALERS DISCLOSE TO CUSTOMER CURRENT QUOTATION PRICES OR SIMILAR MARKET INFORMATION IN CONNECTION WITH PENNY STOCK TRANSACTIONS.

None
None


No

1
IC Title Form No. Form Name
BROKER OR DEALER DISCLOSURE OF QUOTATIONS AND OTHER INFORMATION RELATING TO THE PENNY STOCK MARKET (17 CFR 240.15G-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 1,620,000 0 0 1,620,000 0 0
Annual Time Burden (Hours) 27,000 0 0 27,000 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.
03/27/1991


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