Records to be preserved by broker-dealers. Rule 17a-4 (17 CFR 240.17a-4).

ICR 199605-3235-023

OMB: 3235-0279

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0279 199605-3235-023
Historical Active 199308-3235-001
SEC
Records to be preserved by broker-dealers. Rule 17a-4 (17 CFR 240.17a-4).
Extension without change of a currently approved collection   No
Regular
Approved without change 06/30/1996
Retrieve Notice of Action (NOA) 05/31/1996
  Inventory as of this Action Requested Previously Approved
06/30/1999 06/30/1999 09/30/1996
8,300 0 8,300
2,077,075 0 2,077,075
41,541,000 0 0

Rule 17a-4 was adopted in 1940 to require broker-dealers to preserve certain books and records for a prescribed period.

None
None


No

1
IC Title Form No. Form Name
Records to be preserved by broker-dealers. Rule 17a-4 (17 CFR 240.17a-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 8,300 8,300 0 0 0 0
Annual Time Burden (Hours) 2,077,075 2,077,075 0 0 0 0
Annual Cost Burden (Dollars) 41,541,000 0 0 41,541,000 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.
05/31/1996


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