Rule 15a-6; Foreign Broker-Dealer Exemption

ICR 200707-3235-009

OMB: 3235-0371

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2007-07-23
IC Document Collections
IC ID
Document
Title
Status
34927
Modified
ICR Details
3235-0371 200707-3235-009
Historical Active 200406-3235-005
SEC 270-0329
Rule 15a-6; Foreign Broker-Dealer Exemption
Revision of a currently approved collection   No
Regular
Approved without change 11/16/2007
Retrieve Notice of Action (NOA) 07/30/2007
The agency is reminded that burden hours should not be monetized and double-counted.
  Inventory as of this Action Requested Previously Approved
11/30/2010 36 Months From Approved 11/30/2007
2,000 0 2,000
6,000 0 6,000
600,000 0 0

Rule 15a-6 provides, inter alia, an exemption from broker-dealer registration for foreign broker-dealers that effect trades for U.S. institutional investors through a U.S. broker-dealer registered with the Commission.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 193412
  
None

Not associated with rulemaking

  72 FR 27601 05/16/2007
72 FR 39648 07/19/2007
No

1
IC Title Form No. Form Name
Rule 15a-6; Foreign Broker-Dealer Exemption

  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 2,000 2,000 0 0 0 0
Annual Time Burden (Hours) 6,000 6,000 0 0 0 0
Annual Cost Burden (Dollars) 600,000 0 0 600,000 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Haimera Workie 202 551-5550 [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.
07/30/2007


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