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
5,141
0
6,900
1,305,814
0
1,752,600
25,705,000
0
34,500,000
Rule 17a-4 requires certain records to
be maintained by certain exchange members and registered brokers
and dealers.
The changes in the annual hour
burden are a result of a data entry error made in the previous
submission, as well as a reduction in the number of respondents due
to a decrease in the number of broker-dealers to 5,141. The
decrease in the number of broker-dealers results in a decrease in
both the total annual hour burden and the total annual cost burden.
The Commission notes that there will be no changes in the reporting
burden as a result of the proposed amendment to paragraph (e)(9) to
Rule 17a-4. The reporting burdens are included in the proposed
amendment to Rule 17a-3(a)(23) in the 2007 proposing release.
$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.