Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2009 17f-1(c)just.doc	Supporting Statement A	Uploaded 2009-06-10	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34104	Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)		Modified

ICR Details

OMB Control No: 3235-0037	ICR Reference No: 200906-3235-007
Status: Historical Inactive	Previous ICR Reference No: 200607-3235-007
Agency/Subagency: SEC	Agency Tracking No: TM-270-29
Title: Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Improperly submitted and continue	Conclusion Date: 11/10/2009
	Date Received in OIRA: 09/01/2009
Terms of Clearance: SEC will resubmit ICR with information collection instrument attached (Form X-17F-1A). SEC does not need to go through the public comment period again in its ICR resubmission.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2009	36 Months From Approved	01/31/2010
Responses	1,300,000	0	1,300,000
Time Burden (Hours)	108,333	0	108,333
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17f-1(c) requires reporting institutions to report, lost, stolen, missing, or counterfeit securities to a central data base. Form X-17F-1A facilitates the accurate reporting and precise and immediate data entry into the computerized database. Exchanges, securities associations and the members, broker- dealers, transfer agents, and clearing agencies and their participants, FDIC banks, and Federal Reserve member banks must comply with the rule.

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Authorizing Statute(s): US Code: 15 USC 78a, et. seq. Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 28733	06/17/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 42707	08/24/2009
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 09/01/2009

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