Rule 15c1-5, 17 CFR 240.15c1-5 (Disclosure of Control)

ICR 200208-3235-003

OMB: 3235-0471

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
35182
Migrated
ICR Details
3235-0471 200208-3235-003
Historical Active 199908-3235-008
SEC
Rule 15c1-5, 17 CFR 240.15c1-5 (Disclosure of Control)
Extension without change of a currently approved collection   No
Regular
Approved without change 10/09/2002
Retrieve Notice of Action (NOA) 08/09/2002
  Inventory as of this Action Requested Previously Approved
03/31/2006 03/31/2006 10/31/2002
3,600 0 3,900
3,600 0 3,900
0 0 0

Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction.

None
None


No

1
IC Title Form No. Form Name
Rule 15c1-5, 17 CFR 240.15c1-5 (Disclosure of Control)

  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 3,600 3,900 0 0 -300 0
Annual Time Burden (Hours) 3,600 3,900 0 0 -300 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.
08/09/2002


© 2024 OMB.report | Privacy Policy