Risk Assessment Recordkeeping and Reporting Requirements for Associated Persons of Brokers and Dealers -- Rule 17h-1T, 17 CFR 240.17h-1T and 17h-2T, 17 CFR 240.17h-2T

ICR 199708-3235-005

OMB: 3235-0410

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0410 199708-3235-005
Historical Active 199409-3235-001
SEC
Risk Assessment Recordkeeping and Reporting Requirements for Associated Persons of Brokers and Dealers -- Rule 17h-1T, 17 CFR 240.17h-1T and 17h-2T, 17 CFR 240.17h-2T
Extension without change of a currently approved collection   No
Regular
Approved without change 09/24/1997
Retrieve Notice of Action (NOA) 08/18/1997
  Inventory as of this Action Requested Previously Approved
09/30/2000 09/30/2000 10/31/1997
1,000 0 1,000
6,000 0 6,000
2,500,000 0 0

Rules 17h-1T and 17h-2T require certain broker-dearlers to make and keep certain records relating to the activities of affiliates whose business activities were reasonably likely to have a material impact on the broker-dealer.

None
None


No

  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 1,000 1,000 0 0 0 0
Annual Time Burden (Hours) 6,000 6,000 0 0 0 0
Annual Cost Burden (Dollars) 2,500,000 0 0 2,500,000 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.
08/18/1997


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