Discretionary Accounts -- Rule 15c1-7, 17 CFR 240.15c1-7

ICR 199702-3235-002

OMB: 3235-0134

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
34426
Migrated
ICR Details
3235-0134 199702-3235-002
Historical Active 199403-3235-020
SEC
Discretionary Accounts -- Rule 15c1-7, 17 CFR 240.15c1-7
Extension without change of a currently approved collection   No
Regular
Approved without change 04/29/1997
Retrieve Notice of Action (NOA) 02/14/1997
The agency should continue efforts to achieve the purpose of this collection through Rule 17a-3 to eliminate potential sources of duplication.
  Inventory as of this Action Requested Previously Approved
04/30/2000 04/30/2000 04/30/1997
400,000 0 400
33,333 0 16,667
0 0 0

Rule 15cl-7 is intended to provide a standard to determine whether a transaction is manipulative or fraudulent and to establish a means to ensure that all transactions occurring in a discretionary account are noted. This discourages fraudulent and manipulative practices and provides a means to monitor illegal practices.

None
None


No

1
IC Title Form No. Form Name
Discretionary Accounts -- Rule 15c1-7, 17 CFR 240.15c1-7

  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 400,000 400 0 0 399,600 0
Annual Time Burden (Hours) 33,333 16,667 0 0 16,666 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.
02/14/1997


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