Registration Statements of Securities Associations -- Rule 15Aj-1, Form X-15AJ-1, and Form X-15AJ-2

ICR 199612-3235-017

OMB: 3235-0044

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0044 199612-3235-017
Historical Active 199308-3235-011
SEC
Registration Statements of Securities Associations -- Rule 15Aj-1, Form X-15AJ-1, and Form X-15AJ-2
Reinstatement without change of a previously approved collection   No
Regular
Approved without change 03/13/1997
Retrieve Notice of Action (NOA) 12/23/1996
In accordance with the Paperwork Reduction Act of 1995 and 5 CFR 1320, the agency must comply with the requirements of 5 CFR 1320.5(b).
  Inventory as of this Action Requested Previously Approved
03/31/2000 03/31/2000
1 0 0
3 0 0
0 0 0

Rule 15Aj-1 implements the requirements of sections 15A, 17, and 19 by requiring every association applying for registration or registered as a national or as an affiliated securities association to keep its registration statement up to date by filing with the Commission form X-15AJ-1 and form X-15AJ-2. Rule 15Aj-1 requires a securities association to promptly notify the Commission on form X-15AJ-1 of any change which renders inaccurate any information contained or incorporated in the registration statement or in any amendment or supplement thereto. Rule 15Aj-1 also requires a securities association to file each..

None
None


No

1
IC Title Form No. Form Name
Registration Statements of Securities Associations -- Rule 15Aj-1, Form X-15AJ-1, and Form X-15AJ-2 FORM-X-15AJ-1, FORM-X-15AJ-2, SEC-894, SEC-895

  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) 3 0 0 3 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.
12/23/1996


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