Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

ICR 201007-3235-001

OMB: 3235-0033

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2010-07-08
IC Document Collections
ICR Details
3235-0033 201007-3235-001
Historical Inactive 200709-3235-017
SEC TM-240-026
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection   No
Regular
Preapproved 09/13/2010
Retrieve Notice of Action (NOA) 07/14/2010
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
09/30/2013 36 Months From Approved 05/31/2011
5,850 0 5,850
2,984,760 0 2,984,729
31,539,281 0 31,539,281

Rule 17a-3 requires certain records to be made by registered brokers and dealers. The rule serves to standardize business practices. These records are essential for regulatory investigations and are important for the protection of the public.

US Code: 15 USC 78q, 78w, 78mm, 80a-30(a), 80a Name of Law: Securities Exchange Act of 1934
  
None

3235-AJ85 Proposed rulemaking 72 FR 12862 03/19/2007

No

1
IC Title Form No. Form Name
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

  Total Request 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 5,850 5,850 0 0 0 0
Annual Time Burden (Hours) 2,984,760 2,984,729 0 0 31 0
Annual Cost Burden (Dollars) 31,539,281 31,539,281 0 0 0 0
No
No
The Commission increased the estimated annual hour burden by 31 hours to correct a data entry error made in the last submission. The Commission also increased the one-time reporting burden as a result of the proposed amendments to paragraph (a)(23) to Rule 17a-3.

$0
No
No
No
Uncollected
No
Uncollected
Sheila Swartz 202 551-5545

  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.
07/14/2010


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