Rule 17a-3(a)(16); Records to be Made by Certain Exchange Members, Brokers and Dealers.

ICR 200106-3235-012

OMB: 3235-0508

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
3235-0508 200106-3235-012
Historical Active 199804-3235-007
SEC
Rule 17a-3(a)(16); Records to be Made by Certain Exchange Members, Brokers and Dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 08/30/2001
Retrieve Notice of Action (NOA) 06/19/2001
  Inventory as of this Action Requested Previously Approved
08/31/2004 08/31/2004 08/31/2001
105 0 94
2,835 0 2,538
0 0 0

Rule 17a-3, which took effect in 1940, requires registered broker-dealers to make certain records. Rule 17a-3(a)(16) defines internal broker-dealer systems and requires such systems to make records including daily trading summaries of trading activities, identity of parties involved and securities traded. The rule serves to standardize business practice. These records are essential to regulatory investigations and are important for the protection of investors.

None
None


No

1
IC Title Form No. Form Name
Rule 17a-3(a)(16); Records to be Made by Certain Exchange Members, Brokers and 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 105 94 0 0 11 0
Annual Time Burden (Hours) 2,835 2,538 0 0 297 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.
06/19/2001


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