Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

ICR 199712-3235-006

OMB: 3235-0078

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0078 199712-3235-006
Historical Active 199412-3235-003
SEC
Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)
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
19,316 0 44,000
48,290 0 110,000
0 0 0

Rule 15c3-3 was adopted in 1972 to provide protection for and integrity of customer funds and securities. The Rule sets forth standards for (i) broker-dealer's acceptance, custody, and use of customer securities and (ii) the maintenance of reserves with respect to customer deposits and credit balances of monies obtained from the use of customer securities.

None
None


No

1
IC Title Form No. Form Name
Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

  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 19,316 44,000 0 0 -24,684 0
Annual Time Burden (Hours) 48,290 110,000 0 0 -61,710 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


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