Rule 15a-4(17 CFR 240.15-4); Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges.

ICR 200408-3235-012

OMB: 3235-0010

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0010 200408-3235-012
Historical Active 200107-3235-004
SEC
Rule 15a-4(17 CFR 240.15-4); Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges.
Extension without change of a currently approved collection   No
Regular
Approved without change 09/24/2004
Retrieve Notice of Action (NOA) 08/23/2004
  Inventory as of this Action Requested Previously Approved
09/30/2007 09/30/2007 10/31/2004
25 0 25
106 0 106
0 0 0

Rule 15a-4 permits a natural person member of a securities exchange who terminates hir or her association with a registered broker-dealer to continue to transact business on the exchange while the Commission review his or her application for registration as a broker-dealer if the exchange files a statement indicating that ther does not appear to be any ground for disapproving the application.

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 25 25 0 0 0 0
Annual Time Burden (Hours) 106 106 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
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.
08/23/2004


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