Record Preservation Requirements -- Rule 303, 17 CFR 242.303

ICR 199812-3235-023

OMB: 3235-0505

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0505 199812-3235-023
Historical Active 199804-3235-004
SEC
Record Preservation Requirements -- Rule 303, 17 CFR 242.303
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 12/14/1998
Retrieve Notice of Action (NOA) 12/14/1998
  Inventory as of this Action Requested Previously Approved
08/31/2001 08/31/2001 08/31/2001
45 0 43
180 0 172
0 0 0

Rule 303 provides that, as a condition of operating as a broker-dealer, alternative trading systems must preserve certain records made pursuant to Rule 302 and certain other records.

None
None


No

1
IC Title Form No. Form Name
Record Preservation Requirements -- Rule 303, 17 CFR 242.303

  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 45 43 0 2 0 0
Annual Time Burden (Hours) 180 172 0 8 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
12/14/1998


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