Broker or Dealer Disclosure of Quotations and Other Information Relating to the Penny Stock Market -- Rule 15g-3

ICR 199703-3235-033

OMB: 3235-0392

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0392 199703-3235-033
Historical Active 199403-3235-008
SEC
Broker or Dealer Disclosure of Quotations and Other Information Relating to the Penny Stock Market -- Rule 15g-3
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-3 (17 CFR 240.15g-3) requires that brokers or dealers disclose to customers current quotation prices or similar market information in connection with the penny stock transactions.

None
None


No

1
IC Title Form No. Form Name
Broker or Dealer Disclosure of Quotations and Other Information Relating to the Penny Stock Market -- Rule 15g-3

  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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