Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Rulemaking Board -- Rule 17a-1

ICR 199807-3235-004

OMB: 3235-0208

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0208 199807-3235-004
Historical Active 199507-3235-027
SEC
Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Rulemaking Board -- Rule 17a-1
Extension without change of a currently approved collection   No
Regular
Approved without change 09/04/1998
Retrieve Notice of Action (NOA) 07/14/1998
  Inventory as of this Action Requested Previously Approved
09/30/2001 09/30/2001 09/30/1998
26 0 0
1,300 0 1,250
0 0 0

Rule 17a-1 requires that all national securities associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of 5 years, 2 years in an accessible place, all documents which it makes or receives respecting its self-regulatory activities and that such documents be made available for examination by the Commission.

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 26 0 0 0 26 0
Annual Time Burden (Hours) 1,300 1,250 0 0 50 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.
07/14/1998


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