Net Capital Requirements for Brokers and Dealers -- Rule 15c3-1, 17 CFR 240.15c3-1

ICR 199908-3235-006

OMB: 3235-0200

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
3235-0200 199908-3235-006
Historical Active 199609-3235-011
SEC
Net Capital Requirements for Brokers and Dealers -- Rule 15c3-1, 17 CFR 240.15c3-1
Extension without change of a currently approved collection   No
Regular
Approved without change 09/28/1999
Retrieve Notice of Action (NOA) 08/17/1999
  Inventory as of this Action Requested Previously Approved
09/30/2002 09/30/2002 10/31/1999
1,100 0 1,150
950 0 1,150
0 0 23,000

Rule 15c3-1 was adopted in 1971 to ensure that brokers and dealers maintain sufficient amounts of liquid assets to cover their current liabilities. The Rule facilitates monitoring the financial condition of securities brokers and dealers by the Commission and the various self-regulatory organizations.

None
None


No

1
IC Title Form No. Form Name
Net Capital Requirements for Brokers and Dealers -- Rule 15c3-1, 17 CFR 240.15c3-1

  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 1,100 1,150 0 0 -50 0
Annual Time Burden (Hours) 950 1,150 0 0 -200 0
Annual Cost Burden (Dollars) 0 23,000 0 0 -23,000 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.
08/17/1999


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