Rule 15g-6. Account statements for penny stock customers.

ICR 200303-3235-013

OMB: 3235-0395

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
34994
Migrated
ICR Details
3235-0395 200303-3235-013
Historical Active 200003-3235-023
SEC
Rule 15g-6. Account statements for penny stock customers.
Extension without change of a currently approved collection   No
Regular
Approved without change 06/26/2003
Retrieve Notice of Action (NOA) 03/20/2003
  Inventory as of this Action Requested Previously Approved
06/30/2006 06/30/2006 06/30/2003
486,000 0 486,000
24,300 0 24,300
0 0 0

Rule 15-g6 (17 CFR 240.15g-6) requires brokers and dealers that sell penny stocks to their customers to provide monthly account statements containing information with regard to the penny stocks held in the customer accounts.

None
None


No

1
IC Title Form No. Form Name
Rule 15g-6. Account statements for penny stock customers.

  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 486,000 486,000 0 0 0 0
Annual Time Burden (Hours) 24,300 24,300 0 0 0 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.
03/20/2003


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