Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

ICR 200405-3235-011

OMB: 3235-0279

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
3235-0279 200405-3235-011
Historical Active 200201-3235-013
SEC
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 05/17/2004
Retrieve Notice of Action (NOA) 05/17/2004
  Inventory as of this Action Requested Previously Approved
04/30/2005 04/30/2005 04/30/2005
7,217 0 7,217
1,881,261 0 1,843,118
36,085,000 0 36,085,000

Rule 17a-4 requires certain records to be maintained by certain exchange members and registered brokers and dealers. The rule serves to standardize prudent business practices. Among other things, these records are essential for regulatory purposes including examinations, investigations, and enforcement proceedings, which are significant customer protection safeguards. The Commission is adopting new requirements which require broker-dealers to maintain additional books and records.

None
None


No

1
IC Title Form No. Form Name
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

  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 7,217 7,217 0 0 0 0
Annual Time Burden (Hours) 1,881,261 1,843,118 0 38,143 0 0
Annual Cost Burden (Dollars) 36,085,000 36,085,000 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.
05/17/2004


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