ANNUAL REPORT ON BROKERAGE PRACTICES -- RULE 204-4

ICR 199503-3235-016

OMB: 3235-0454

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
159714
Migrated
ICR Details
3235-0454 199503-3235-016
Historical Active
SEC
ANNUAL REPORT ON BROKERAGE PRACTICES -- RULE 204-4
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 04/24/1995
Retrieve Notice of Action (NOA) 03/23/1995
  Inventory as of this Action Requested Previously Approved
04/30/1998 04/30/1998
1 0 0
1 0 0
0 0 0

THE PROPOSED RULE AND FORM WOULD REQUIRE CERTAIN INVESTMENT ADVISERS TO PROVIDE CLIENTS WITH AN ANNUAL REPORT REGARDING THEIR USE OF CLIENT BROKERAGE, INCLUDING THEIR RECEIPT OF RESEARCH AND OTHER SERVICES IN EXCHANGE FOR THAT BROKERAGE.

None
None


No

1
IC Title Form No. Form Name
ANNUAL REPORT ON BROKERAGE PRACTICES -- RULE 204-4

  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 0 0 1 0 0
Annual Time Burden (Hours) 1 0 0 1 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.
03/23/1995


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