Regulation AC

ICR 200212-3235-016

OMB: 3235-0575

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
35424
Migrated
ICR Details
3235-0575 200212-3235-016
Historical Active
SEC
Regulation AC
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 03/05/2003
Retrieve Notice of Action (NOA) 12/20/2002
  Inventory as of this Action Requested Previously Approved
04/30/2006 04/30/2006
659,211 0 0
11,296 0 0
0 0 0

Regulation AC requires that any research report disseminated by a broker or dealer include certifications by the research analyst that the views expressed in the research report accurately reflect the analyst's personal views, and whether the analyst received compensation or other payments in connection with his or her specific recommendations or views. Broker-dealers would also be required to obtain analyst certifications and disclosures in connection with public appearances.

None
None


No

1
IC Title Form No. Form Name
Regulation AC

  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 659,211 0 0 659,211 0 0
Annual Time Burden (Hours) 11,296 0 0 11,296 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
12/20/2002


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