Disclosure and Other Requirement When Extending or Arranging Credit in Certain Transactions -- Rule 15c2-5, 17 CFR 240.15c2-5

ICR 199907-3235-003

OMB: 3235-0198

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0198 199907-3235-003
Historical Active 199608-3235-002
SEC
Disclosure and Other Requirement When Extending or Arranging Credit in Certain Transactions -- Rule 15c2-5, 17 CFR 240.15c2-5
Extension without change of a currently approved collection   No
Regular
Approved without change 09/07/1999
Retrieve Notice of Action (NOA) 07/13/1999
  Inventory as of this Action Requested Previously Approved
09/30/2002 09/30/2002 09/30/1999
300 0 300
600 0 600
15,000,000 0 12,000,000

Rule 15c2-5 prohibits a broker-dealer from arranging or extending a loan to customers, not subject to Regulation T (12 CFR 220), in connection with the offer or sale of securities unless, before entering the transaction, the broker-dealer reasonably determines and documents that the transaction is suitable for the customer.

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 300 300 0 0 0 0
Annual Time Burden (Hours) 600 600 0 0 0 0
Annual Cost Burden (Dollars) 15,000,000 12,000,000 0 0 3,000,000 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.
07/13/1999


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