Recordkeeping and Reporting Requirements Relating to Broker- Dealer Trading Systems (17 CFR 240.17a-23)

ICR 199712-3235-005

OMB: 3235-0442

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0442 199712-3235-005
Historical Active 199501-3235-003
SEC
Recordkeeping and Reporting Requirements Relating to Broker- Dealer Trading Systems (17 CFR 240.17a-23)
Extension without change of a currently approved collection   No
Regular
Approved without change 03/14/1998
Retrieve Notice of Action (NOA) 12/19/1997
  Inventory as of this Action Requested Previously Approved
03/31/2001 03/31/2001 03/31/1998
598 0 366
6,542 0 5,532
0 0 0

Rule 17a-23 establishes recordkeeping and reporting requirements for registered brokers and dealers that operate certain automated trading systems ("Broker-Dealer Trading System" or "BDTS"). Rule 17a-23 requires any registered broker-dealer that sponsors a BDTS to maintain participant, volume, and transaction records. Rule 17a-23 and Form 17A-23 also require system sponsors to submit three reports to the Commission and, under certain circumstances, to an appropriate self-regulatory organization: (1) An initial system description (Part I of Form 17A-23), updated as necessary to reflect material changes (Part IA of Form 17A-23);

None
None


No

1
IC Title Form No. Form Name
Recordkeeping and Reporting Requirements Relating to Broker- Dealer Trading Systems (17 CFR 240.17a-23) SEC-2385

  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 598 366 0 0 232 0
Annual Time Burden (Hours) 6,542 5,532 0 0 1,010 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.
12/19/1997


© 2021 OMB.report | Privacy Policy