Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.

ICR 200909-3235-012

OMB: 3235-0540

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-12-14
ICR Details
3235-0540 200909-3235-012
Historical Active 200610-3235-002
SEC TM-270-482
Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 01/22/2010
Retrieve Notice of Action (NOA) 12/14/2009
  Inventory as of this Action Requested Previously Approved
01/31/2013 36 Months From Approved 01/31/2010
80,572 0 50,358
10,911 0 6,900
0 0 0

Rule 17a-25 sets forth the obligations of registered broker-dealers to submit securities trading data in electronic format upon request by the Commission for enforcement and other regulatory purposes.

US Code: 15 USC 78a et. seq. Name of Law: Securities Exchange Act
  
None

Not associated with rulemaking

  74 FR 50265 09/30/2009
74 FR 64101 12/07/2009
Yes

  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 80,572 50,358 0 0 30,214 0
Annual Time Burden (Hours) 10,911 6,900 0 0 4,011 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in burden hours is based on the actual number of electronic and manual submissions received by the Commission from January 1, 2007 to June 1, 2009. The Commission estimates that it sent 5168 electronic blue sheet requests to clearing broker-dealers, who in turn submitted 79,992 responses; in addition there were 80 manual responses and 500 responses with updated contact information for a total of 80,572 responses. The increase in the number of responses to 80,572 increased the burden hours to 10,911.

$3,987,325
No
No
Uncollected
Uncollected
No
Uncollected
Gail Jackson 202 551-5623

  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.
12/14/2009


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