Transactions Yielding Priority, Parity, and Precedence -- Rule 11a1-1(T), 17 CFR 240.11a1-1(T)

ICR 199910-3235-001

OMB: 3235-0478

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0478 199910-3235-001
Historical Active 199611-3235-002
SEC
Transactions Yielding Priority, Parity, and Precedence -- Rule 11a1-1(T), 17 CFR 240.11a1-1(T)
Extension without change of a currently approved collection   No
Regular
Approved without change 02/15/2000
Retrieve Notice of Action (NOA) 10/05/1999
  Inventory as of this Action Requested Previously Approved
03/31/2003 03/31/2003 02/29/2000
20,000 0 20,000
333 0 333
0 0 33,000

Rule 11a1-1(T) provides that an exchange member's proprietary order may be executed on the exchange of which the trader is a member if, among other things, (1) the member discloses that a bid or offer for its account is to any member with whom such bid or offer is placed or to whom it is communicated; (2) any such member through whom that bid or offer is communicated disclosed to others participating in effecting the order that is for the account of a member; and (3) immediately before executing the order, a member (other than a specialist in such security) presenting any order for the account of a member....

None
None


No

1
IC Title Form No. Form Name
Transactions Yielding Priority, Parity, and Precedence -- Rule 11a1-1(T), 17 CFR 240.11a1-1(T)

  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 20,000 20,000 0 0 0 0
Annual Time Burden (Hours) 333 333 0 0 0 0
Annual Cost Burden (Dollars) 0 33,000 0 0 -33,000 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.
10/05/1999


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