This ICR is
associated with proposed release IA-2266. The agency must resubmit
this ICR at the time of final rulemaking. The resubmission must
include responses to relevant comments received in response to the
notice of proposed rulemaking.
Inventory as of this Action
Requested
Previously Approved
12/31/2006
10/31/2007
12/31/2006
17,160
0
17,160
10,982
0
0
0
0
0
Rule 206(4)-3 imposes restrictions on
cash payments for client solicitations and imposes certain
disclosure requirements. The information is necessary to inform
advisory clients about the nature of a solicitor's financial
interest in a recommendation so clients may consider the
solicitor's potential bias.
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.