SEC Investor Complaint Forms; SEC Investor Question Form

ICR 200504-3235-002

OMB: 3235-0547

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC ID
Document
Title
Status
35367
Migrated
ICR Details
3235-0547 200504-3235-002
Historical Active 200502-3235-003
SEC
SEC Investor Complaint Forms; SEC Investor Question Form
Extension without change of a currently approved collection   No
Regular
Approved without change 08/31/2005
Retrieve Notice of Action (NOA) 04/05/2005
The agency is reminded that is must include copies of all information collection instruments as part of its submission to OMB to ensure all intended instruments are approved.
  Inventory as of this Action Requested Previously Approved
08/31/2008 08/31/2008 08/31/2005
20,000 0 20,000
5,000 0 5,000
0 0 0

Each year, thousands of investors voluntarily use the SEC's Investor Complaint and Question Forms to submit complaints concerning their brokers or investments, to ask questions about the securities laws and the securities industry, to provide information concerning potential violations of the federal securities laws, or to provide other feedback. While the vast majority of investors use the forms to contact the SEC electronically through the Internet, investors may also print and use the forms to contact the agency through regular mail or by facsimile.

None
None


No

1
IC Title Form No. Form Name
SEC Investor Complaint Forms; SEC Investor Question Form

  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 20,000 20,000 0 0 0 0
Annual Time Burden (Hours) 5,000 5,000 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.
04/05/2005


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