Rule 10a-1; 17 CFR 240.10a-1 (Short Sales).

ICR 200208-3235-004

OMB: 3235-0475

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
35197
Migrated
ICR Details
3235-0475 200208-3235-004
Historical Active 199909-3235-003
SEC
Rule 10a-1; 17 CFR 240.10a-1 (Short Sales).
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
10/31/2005 10/31/2005 10/31/2002
428,743,000 0 91,400,000
59,595 0 12,705
0 0 0

Rule 10a-1 is designed to limit short selling of a security in a declining market by requiring, in effect, that each successive lower price be established by a long seller. This is accomplished by requiring brokers and dealers who conduct transactions in exchange listed securities to mark orders either "long" or "short." The purpose of the information is to enable national securities exchange to monitor whether a person effecting a short sale on such exchange is acting in accordance with Rule 10a-1.

None
None


No

1
IC Title Form No. Form Name
Rule 10a-1; 17 CFR 240.10a-1 (Short Sales).

  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 428,743,000 91,400,000 0 0 337,343,000 0
Annual Time Burden (Hours) 59,595 12,705 0 0 46,890 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


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