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.
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.