Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

ICR 200510-3235-002

OMB: 3235-0472

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0472 200510-3235-002
Historical Active 200208-3235-002
SEC
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
Extension without change of a currently approved collection   No
Regular
Approved without change 03/12/2006
Retrieve Notice of Action (NOA) 10/11/2005
  Inventory as of this Action Requested Previously Approved
03/31/2009 03/31/2009 03/31/2006
7,250 0 7,250
7,250 0 7,250
725,000 0 0

Rule 15c1-6 states that any broker-dealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer's participation or interest at or before completion of the transaction.

None
None


No

1
IC Title Form No. Form Name
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

  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 7,250 7,250 0 0 0 0
Annual Time Burden (Hours) 7,250 7,250 0 0 0 0
Annual Cost Burden (Dollars) 725,000 0 0 725,000 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.
10/11/2005


© 2024 OMB.report | Privacy Policy