Rule 31 - Section 31 transaction fees; Rule 31T - Temporary rule regarding fiscal year 2004; Form R31 - Form for reporting covered sales and covered round turn transactions under Section 31 of the

ICR 200407-3235-007

OMB: 3235-0597

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0597 200407-3235-007
Historical Active 200401-3235-011
SEC
Rule 31 - Section 31 transaction fees; Rule 31T - Temporary rule regarding fiscal year 2004; Form R31 - Form for reporting covered sales and covered round turn transactions under Section 31 of the
Revision of a currently approved collection   No
Regular
Approved without change 08/26/2004
Retrieve Notice of Action (NOA) 07/01/2004
  Inventory as of this Action Requested Previously Approved
08/31/2007 08/31/2007 03/31/2007
14 0 14
1,340 0 270
12,000 0 12,000

Rule 31 establishes a new procedure for calculating the fees and assessments due from national securities exchanges and national securities associations (collectively, "SROs") pursuant to Section 31 of the Exchange Act. Under Rule 31, the SROs are required to submit Form R31 to the SEC within ten business days after the end of every month. The SROs are required to report on Form R31 data on all sales of securities that are subject to Section 31 fees and all or round turn transactions in security futures that are subject to Section 31 assessments. Based on that data, the SEC calculates the fees and assessments owned by

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 14 14 0 0 0 0
Annual Time Burden (Hours) 1,340 270 0 1,070 0 0
Annual Cost Burden (Dollars) 12,000 12,000 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.
07/01/2004


© 2024 OMB.report | Privacy Policy