Rule 17a-7; Records of non-resident brokers or dealers

ICR 200108-3235-004

OMB: 3235-0131

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
34417
Migrated
ICR Details
3235-0131 200108-3235-004
Historical Active 199809-3235-004
SEC
Rule 17a-7; Records of non-resident brokers or dealers
Extension without change of a currently approved collection   No
Regular
Approved without change 10/11/2001
Retrieve Notice of Action (NOA) 08/13/2001
  Inventory as of this Action Requested Previously Approved
11/30/2004 11/30/2004 10/31/2001
72 0 86
72 0 86
0 0 0

Rule 17a-7 was adopted in 1956, and requires non-resident brokers or dealers registered with the Securities and Exchange Commission to make and keep copies of requisite books and records in the United States or to file an undertaking agreeing to make them available to the Commission upon request.

None
None


No

1
IC Title Form No. Form Name
Rule 17a-7; Records of non-resident brokers or 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 72 86 0 0 -14 0
Annual Time Burden (Hours) 72 86 0 0 -14 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.
08/13/2001


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