Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

ICR 200101-3235-003

OMB: 3235-0498

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0498 200101-3235-003
Historical Active 199712-3235-010
SEC
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 03/12/2001
Retrieve Notice of Action (NOA) 01/11/2001
  Inventory as of this Action Requested Previously Approved
03/31/2004 03/31/2004 03/31/2001
30 0 24
1,080 0 1,080
0 0 0

Rule 17a-12 sets forth standards for OTC derivatives dealers to report financial and operational information to the Commission. Form X-17A-5IIB is the basic document used by OTC derivatives dealers to report this information.

None
None


No

1
IC Title Form No. Form Name
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

  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 30 24 0 6 0 0
Annual Time Burden (Hours) 1,080 1,080 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 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.
01/11/2001


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