Hypothecation of Customers' Securities -- Rule 15c2-1

ICR 199701-3235-008

OMB: 3235-0485

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
35223
Migrated
ICR Details
3235-0485 199701-3235-008
Historical Active
SEC
Hypothecation of Customers' Securities -- Rule 15c2-1
Existing collection in use without an OMB Control Number   No
Regular
Approved without change 03/10/1997
Retrieve Notice of Action (NOA) 01/13/1997
The agency must display the OMB control number assigned to this collection and inform the public that the agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
  Inventory as of this Action Requested Previously Approved
05/31/2000 05/31/2000
11,610 0 0
5,805 0 0
116,100,000 0 0

Rule 15c2-1 prohibits the commingling under the same lien of securities of margin customers (a) with other customers without their written consent and (b) with the broker or dealer. The rule also prohibits the rehypothecation of customers' margin securities for a sum in excess of the customer's aggregate indebtedness.

None
None


No

1
IC Title Form No. Form Name
Hypothecation of Customers' Securities -- Rule 15c2-1

  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 11,610 0 0 11,610 0 0
Annual Time Burden (Hours) 5,805 0 0 5,805 0 0
Annual Cost Burden (Dollars) 116,100,000 0 0 116,100,000 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.
01/13/1997


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