Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...

ICR 200904-3235-017

OMB: 3235-0489

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-04-30
ICR Details
3235-0489 200904-3235-017
Historical Active 200607-3235-001
SEC TM-270-433
Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...
Extension without change of a currently approved collection   No
Regular
Approved without change 09/23/2009
Retrieve Notice of Action (NOA) 07/29/2009
  Inventory as of this Action Requested Previously Approved
09/30/2012 36 Months From Approved 10/31/2009
2 0 2
60 0 30
0 0 3,000

Rule 17a-6 permits national securities exchanges, national securities association, registered clearing agencies, or the Municipal Securities Rulemaking Board to destroy or convert to microfilm or other recording media records maintained under Rule 17a-1 if they have filed a record destruction plan with the Commission and the Commission has declared such plan effective.

US Code: 15 USC 78a et. seq. Name of Law: Sections 17a-(6) of the Exchange Act
  
None

Not associated with rulemaking

  74 FR 22766 05/14/2009
74 FR 37740 07/29/2009
No

  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 2 0 0 0 0
Annual Time Burden (Hours) 60 30 0 0 30 0
Annual Cost Burden (Dollars) 0 3,000 0 0 -3,000 0
No
No
Estimates of burden hours have been updated to reflect the actual number of record retention plans that have been under review and revision by Commission staff, which affects the staff’s estimate of the likely number of respondents over the next few years. The Commission’s estimate of burden dollars has been reduced to zero, as the only costs associated with the information collection are reflected under the estimate of burden hours. In addition, the number of potential respondents has been adjusted. Specifically, the number of national securities exchanges has been increased from 10 to 17 to reflect the registration of additional national securities exchanges in the interim period, and the number of registered clearing agencies has been reduced from a previous figure of 10 to the current count of 9.

$0
No
No
Uncollected
Uncollected
No
Uncollected
Kathy England 2025515527

  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.
07/29/2009


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