Rule 17i-5 (17 CFR 240.17i-5): Record Creation, Maintenance, and Access Requirements for Supervised Investment Bank Holding Companies.

ICR 200912-3235-016

OMB: 3235-0590

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-12-16
ICR Details
3235-0590 200912-3235-016
Historical Active 200610-3235-017
SEC TM-270-531
Rule 17i-5 (17 CFR 240.17i-5): Record Creation, Maintenance, and Access Requirements for Supervised Investment Bank Holding Companies.
Extension without change of a currently approved collection   No
Regular
Approved without change 02/11/2010
Retrieve Notice of Action (NOA) 01/12/2010
  Inventory as of this Action Requested Previously Approved
02/28/2013 36 Months From Approved 02/28/2010
3 0 3
990 0 990
4,125,000 0 4,125,000

Rule 17i-5 requires that an SIBHC create and maintain certain records for at least three years.

US Code: 15 USC 78q(i) Name of Law: Securities Exchange Act
   PL: Pub.L. 106 - 102 231 Name of Law: Gramm-Leach-Bliley Act of 1999
  
None

Not associated with rulemaking

  74 FR 57717 11/09/2009
75 FR 1663 01/12/2010
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 3 3 0 0 0 0
Annual Time Burden (Hours) 990 990 0 0 0 0
Annual Cost Burden (Dollars) 4,125,000 4,125,000 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
No
Uncollected
Rebekah Goshorn 2025515514

  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.
01/12/2010


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