REGISTRATION REQUIREMENTS FOR FOREIGN BROKER-DEALERS -- RULE 15A-6

ICR 199504-3235-001

OMB: 3235-0371

Federal Form Document

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Name
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ICR Details
3235-0371 199504-3235-001
Historical Active 199203-3235-002
SEC
REGISTRATION REQUIREMENTS FOR FOREIGN BROKER-DEALERS -- RULE 15A-6
Extension without change of a currently approved collection   No
Regular
Approved without change 05/23/1995
Retrieve Notice of Action (NOA) 04/17/1995
  Inventory as of this Action Requested Previously Approved
07/31/1998 07/31/1998 07/31/1995
2,000 0 0
6,000 0 6,000
0 0 0

RULE 15A-6 PROVIDES CONDITIONAL EXEMPTIONS FROM BROKER-DEALER REGISTRATION FOR FOREIGN BROKER-DEALERS THAT ENGAGE IN CERTAIN ACTIVITIES INVOLVING U.S. INVESTORS AND SECURITIES MARKETS.

None
None


No

1
IC Title Form No. Form Name
REGISTRATION REQUIREMENTS FOR FOREIGN BROKER-DEALERS -- RULE 15A-6

  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 2,000 0 0 2,000 0 0
Annual Time Burden (Hours) 6,000 6,000 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.
04/17/1995


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