Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules

ICR 200401-3235-013

OMB: 3235-0434

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0434 200401-3235-013
Historical Inactive 200206-3235-004
SEC
Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 03/31/2004
Retrieve Notice of Action (NOA) 01/29/2004
This ICR is associated with proposed SEC Release No. 34-49037. The agency is requested to resubmit this ICR at the time of final rulemaking.
  Inventory as of this Action Requested Previously Approved
09/30/2005 03/31/2007 09/30/2005
42,120 0 42,120
8,424 0 0
28,000 0 0

Rule 15g-2 requires broker-dealers to provide their customers with a risk disclosure document, as set forth in Schedule 15G, prior to their first non-exempt transaction in a "penny stock".

None
None


No

1
IC Title Form No. Form Name
Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules

No
Yes

$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.
01/29/2004


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