Rule 15g-4; Disclosure of compensation to brokers or dealers.

ICR 200902-3235-007

OMB: 3235-0393

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-02-13
IC Document Collections
ICR Details
3235-0393 200902-3235-007
Historical Active 200604-3235-007
SEC TM-270-347
Rule 15g-4; Disclosure of compensation to brokers or dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 06/29/2009
Retrieve Notice of Action (NOA) 04/22/2009
  Inventory as of this Action Requested Previously Approved
06/30/2012 36 Months From Approved 06/30/2009
1,620,000 0 1,620,000
24,000 0 24,000
0 0 0

Rule 15g-4 (17 CFR 240.15g-4) requires brokers and dealers effecting transactions in penny stocks for or with customers to disclose the amount of compensation received by the broker- dealer in connection with the transaction.

US Code: 15 USC 78o(g), and 78w(a) Name of Law: Sections 15(g) and 23(a) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c(a)(51)(B), 78c(b), 78o(c) Name of Law: Sections 3(a)(51)(B), 3(b), 15(c) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  74 FR 7940 02/20/2009
74 FR 18410 04/22/2009
No

1
IC Title Form No. Form Name
Rule 15g-4; Disclosure of compensation to brokers or dealers.

  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 1,620,000 1,620,000 0 0 0 0
Annual Time Burden (Hours) 24,000 24,000 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
No
Uncollected
Joanne Rutkowski 2025515518

  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.
04/22/2009


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