Net Capital Requirements for Brokers or Dealers; Definitions; NRSRO Rule 15c3-1(c)(13)(17 CFR 240.15c3-1(c)(13))

ICR 200101-3235-015

OMB: 3235-0499

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0499 200101-3235-015
Historical Active 199712-3235-015
SEC
Net Capital Requirements for Brokers or Dealers; Definitions; NRSRO Rule 15c3-1(c)(13)(17 CFR 240.15c3-1(c)(13))
Extension without change of a currently approved collection   No
Regular
Approved without change 03/12/2001
Retrieve Notice of Action (NOA) 01/30/2001
  Inventory as of this Action Requested Previously Approved
03/31/2004 03/31/2004 03/31/2001
8 0 10
800 0 1,000
84,000 0 0

Proposed subparagraph (c)(13) of Rule 15c3-1 defines the term "nationally recognized statistical rating organization" ("NRSRO"). The term NRSRO is used to determine the "haircuts" applied to certain securities owned by brokers and dealers for purposes of Rule 15c3-1, which requires broker-dealers to maintain sufficient amounts of liquid assets to enable them to liquidate in an orderly fashion.

None
None


No

1
IC Title Form No. Form Name
Net Capital Requirements for Brokers or Dealers; Definitions; NRSRO Rule 15c3-1(c)(13)(17 CFR 240.15c3-1(c)(13))

  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 8 10 0 0 -2 0
Annual Time Burden (Hours) 800 1,000 0 0 -200 0
Annual Cost Burden (Dollars) 84,000 0 0 0 84,000 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.
01/30/2001


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