REPORTS BY NATL. SECURITIES EXCHANGES & REGISTERED NATL. SECURITIES ASSOCIATIONS OF CHANGES IN MEMBERSHIP STATUS OF ANY OF THEIR MEMBERS -- RULE 17A-19, 17 CFR 240.17A-19

ICR 199308-3235-019

OMB: 3235-0133

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0133 199308-3235-019
Historical Active 199101-3235-011
SEC
REPORTS BY NATL. SECURITIES EXCHANGES & REGISTERED NATL. SECURITIES ASSOCIATIONS OF CHANGES IN MEMBERSHIP STATUS OF ANY OF THEIR MEMBERS -- RULE 17A-19, 17 CFR 240.17A-19
Extension without change of a currently approved collection   No
Regular
Approved without change 11/04/1993
Retrieve Notice of Action (NOA) 08/10/1993
  Inventory as of this Action Requested Previously Approved
11/30/1996 11/30/1996 02/28/1994
3,600 0 3,600
900 0 900
0 0 0

RULE 17A-19 AND FORM X-17A-19 WERE ADOPTED IN 1974 TO FACILITATE THE PROGRAM IN WHICH BROKER-DEALERS WOULD BE EXAMINED BY AND REPORT TO ONL SELF-REGULATORY ORGANIZATIONS. THE FORM IS FILED WHENEVER A CHANGE IN MEMBERSHIP STATUS OCCURS IN ORDER TO NOTIFY THE COMMISSION THAT A CHAN IN DESIGNATED EXAMINING AUTHORITY IS NECESSARY.

None
None


No

1
IC Title Form No. Form Name
REPORTS BY NATL. SECURITIES EXCHANGES & REGISTERED NATL. SECURITIES ASSOCIATIONS OF CHANGES IN MEMBERSHIP STATUS OF ANY OF THEIR MEMBERS -- RULE 17A-19, 17 CFR 240.17A-19 RULE NO. 17, CFR, 240.17A-19, RULE 17A-19

  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 3,600 3,600 0 0 0 0
Annual Time Burden (Hours) 900 900 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.
08/10/1993


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