Customer Account Statements -- 17 CFR 240.11Ac1-3

ICR 199711-3235-003

OMB: 3235-0435

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
35110
Migrated
ICR Details
3235-0435 199711-3235-003
Historical Active 199411-3235-030
SEC
Customer Account Statements -- 17 CFR 240.11Ac1-3
Extension without change of a currently approved collection   No
Regular
Approved without change 01/13/1998
Retrieve Notice of Action (NOA) 11/12/1997
  Inventory as of this Action Requested Previously Approved
01/31/2001 01/31/2001 01/31/1998
35,112,420 0 14,592,690
74,312 0 46,381
0 0 0

Rule 11Ac1-3 requires disclosure on each new account and, on a yearly basis thereafter, on the annual statement the firm's policies regarding receipt of payment for order flow from any market makers, exchanges, or exchange members to which it routes customers' order in national market system securities for execution and information regarding the aggregate amount of monetary payments, discounts, rebates, or reduction in fees received by the firm over the past year.

None
None


No

1
IC Title Form No. Form Name
Customer Account Statements -- 17 CFR 240.11Ac1-3

  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 35,112,420 14,592,690 0 0 20,519,730 0
Annual Time Burden (Hours) 74,312 46,381 0 0 27,931 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.
11/12/1997


© 2024 OMB.report | Privacy Policy