Disclosure of Compensation to Brokers or Dealers -- Rule 15g-4

ICR 199703-3235-032

OMB: 3235-0393

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0393 199703-3235-032
Historical Active 199403-3235-012
SEC
Disclosure of Compensation to Brokers or Dealers -- Rule 15g-4
Extension without change of a currently approved collection   No
Regular
Approved without change 05/14/1997
Retrieve Notice of Action (NOA) 03/27/1997
  Inventory as of this Action Requested Previously Approved
05/31/2000 05/31/2000 05/31/1997
1,620,000 0 1,620,000
27,000 0 27,000
810,000 0 0

Rule 15g-4 (17 CFR 240.15g-4) requires brokers and dealers effecting transactions in penny stocks for or with customers to disclose the amount of compensation received by the broker-dealer in connection with the transaction.

None
None


No

1
IC Title Form No. Form Name
Disclosure of Compensation to Brokers or Dealers -- Rule 15g-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 1,620,000 1,620,000 0 0 0 0
Annual Time Burden (Hours) 27,000 27,000 0 0 0 0
Annual Cost Burden (Dollars) 810,000 0 0 810,000 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.
03/27/1997


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