Records To Be Made and Retained by Certain Exchange Members, Brokers and Dealers -- Rule 17a-9T

ICR 199903-3235-007

OMB: 3235-0524

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0524 199903-3235-007
Historical Active
SEC
Records To Be Made and Retained by Certain Exchange Members, Brokers and Dealers -- Rule 17a-9T
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 05/26/1999
Retrieve Notice of Action (NOA) 03/15/1999
  Inventory as of this Action Requested Previously Approved
05/31/2002 05/31/2002
4,300 0 0
2,150 0 0
0 0 0

Rule 17a-9T requires certain brokers and dealers to make backup records for the last two business days of 1999. The rule would require brokers and dealers to keep such records for at least 1 year.

None
None


No

1
IC Title Form No. Form Name
Records To Be Made and Retained by Certain Exchange Members, Brokers and Dealers -- Rule 17a-9T

  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 4,300 0 0 4,300 0 0
Annual Time Burden (Hours) 2,150 0 0 2,150 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.
03/15/1999


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