Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members -- Rule 17a-19, 17 CFR 240.17a-19, & Form X-17A-19

ICR 199908-3235-018

OMB: 3235-0133

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0133 199908-3235-018
Historical Active 199610-3235-002
SEC
Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members -- Rule 17a-19, 17 CFR 240.17a-19, & Form X-17A-19
Extension without change of a currently approved collection   No
Regular
Approved without change 09/20/1999
Retrieve Notice of Action (NOA) 08/24/1999
In accordance with the Paperwork Reduction Act of 1995 and 5 CFR 1320, the form associated with this information collection must be revised to include a Paperwork Reduction Act statement which includes the information specified with 5 CFR 1320.8(b)(3) (i)-(vi), either on the form or instructions for the form. The agency is further encouraged to collect this information via electronic means.
  Inventory as of this Action Requested Previously Approved
09/30/2002 09/30/2002 11/30/1999
3,000 0 3,600
750 0 900
0 0 22,000

Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers would be examined by and report only to one self-regulatory organization. The form is filed whenever a change in membership status occurs in order to notify the Commission that a change is designated and examining authority may be necessary.

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 3,000 3,600 0 0 -600 0
Annual Time Burden (Hours) 750 900 0 0 -150 0
Annual Cost Burden (Dollars) 0 22,000 0 0 -22,000 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.
08/24/1999


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