Rule 17i-4 (17 CFR 240.17i-4): Internal Risk Management Control System Requirements for Supervised Investment Bank Holding Companies.

ICR 200406-3235-014

OMB: 3235-0594

Federal Form Document

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ICR Details
3235-0594 200406-3235-014
Historical Active 200310-3235-037
SEC
Rule 17i-4 (17 CFR 240.17i-4): Internal Risk Management Control System Requirements for Supervised Investment Bank Holding Companies.
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 06/17/2004
Retrieve Notice of Action (NOA) 06/17/2004
  Inventory as of this Action Requested Previously Approved
01/31/2007 01/31/2007 01/31/2007
3 0 6
11,550 0 23,100
4,125,000,000 0 8,250,000

Proposed Rule 17i-4 would require an SIBHC establish, document and maintain a system of inernal risk management controls (including procedures for the detection and prevention of money laundering and errorist financing), and periodically review this internal risk management control system for integrity of the risk measurement, monitoring, and management process, and accounta- bility, at the appropriate organizational level, for defining the permitted scope of activity and level of risk.

None
None


No

  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 3 6 0 -6 3 0
Annual Time Burden (Hours) 11,550 23,100 0 -23,100 11,550 0
Annual Cost Burden (Dollars) 4,125,000,000 8,250,000 0 -8,250,000 4,125,000,000 0
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.
06/17/2004


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