Rule 11Ac1-5

ICR 200701-3235-004

OMB: 3235-0542

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2007-03-29
IC Document Collections
IC ID
Document
Title
Status
35358
Modified
ICR Details
3235-0542 200701-3235-004
Historical Active 200311-3235-001
SEC 270-488
Rule 11Ac1-5
Revision of a currently approved collection   No
Regular
Approved with change 03/29/2007
Retrieve Notice of Action (NOA) 01/04/2007
  Inventory as of this Action Requested Previously Approved
03/31/2010 36 Months From Approved 03/31/2007
3,624 0 4,404
21,744 0 26,424
9,060,000 0 2,527,000

The information disclosed by the rule will be used by investors, broker-dealers, and market centers to help analyze order execution practices and evaluate different market centers. Respondents will be market centers.

US Code: 15 USC 17k-1 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  71 FR 55526 09/11/2006
71 FR 70444 11/20/2006
No

1
IC Title Form No. Form Name
Rule 11Ac1-5

  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 3,624 4,404 0 0 -780 0
Annual Time Burden (Hours) 21,744 26,424 0 0 -4,680 0
Annual Cost Burden (Dollars) 9,060,000 2,527,000 0 0 6,533,000 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Susie Cho 202 551-5639 [email protected]

  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.
01/04/2007


© 2024 OMB.report | Privacy Policy