CONFIRMATION OF MUNICIPAL SECURITIES TRANSACTIONS -- 240.15C2-13

ICR 199407-3235-011

OMB: 3235-0445

Federal Form Document

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Name
Status
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ICR Details
3235-0445 199407-3235-011
Historical Active 199404-3235-006
SEC
CONFIRMATION OF MUNICIPAL SECURITIES TRANSACTIONS -- 240.15C2-13
No material or nonsubstantive change to a currently approved collection   No
Emergency 07/26/1994
Approved with change 07/26/1994
Retrieve Notice of Action (NOA) 07/26/1994
  Inventory as of this Action Requested Previously Approved
05/31/1997 05/31/1997 05/31/1997
1,663,200,000 0 663,200,000
49,896,000 0 49,896,000
0 0 0

RULE 15C2-13 WILL REQUIRE BROKERS, DEALERS, AND MUNICIPAL SECURITIES DEALERS TO DISCLOSE THEIR MARK-UPS AND MARK-DOWNS WHEN EXPECTING A MUNICIPAL SECURITIES TRANSACTION. IN ADDITION, THE RULE WILL REQUIRE THE DISCLOSURE OF THE UNRATED STATUS BY MUNICIPAL SECURITY.

None
None


No

1
IC Title Form No. Form Name
CONFIRMATION OF MUNICIPAL SECURITIES TRANSACTIONS -- 240.15C2-13

  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 1,663,200,000 663,200,000 0 1,000,000,000 0 0
Annual Time Burden (Hours) 49,896,000 49,896,000 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.
07/26/1994


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