Rule 17a-7; Records of non-resident brokers or dealers.

ICR 201007-3235-022

OMB: 3235-0131

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2010-07-20
IC Document Collections
IC ID
Document
Title
Status
34418
Modified
ICR Details
3235-0131 201007-3235-022
Historical Active 200708-3235-011
SEC TM-270-147
Rule 17a-7; Records of non-resident brokers or dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 11/22/2010
Retrieve Notice of Action (NOA) 09/27/2010
  Inventory as of this Action Requested Previously Approved
11/30/2013 36 Months From Approved 02/28/2011
63 0 54
63 0 54
0 0 0

Rule 17a-7 was adopted in 1956, and requires non-resident brokers or dealers registered with the Securities Exchange Commission to make and keep copies of requisite books and records in the United States or to file an undertaking agreeing to make them available to the Commission upon request.

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

Not associated with rulemaking

  75 FR 44293 07/28/2010
75 FR 59298 09/27/2010
No

1
IC Title Form No. Form Name
Rule 17a-7; Records of non-resident brokers or dealers.

  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 63 54 0 0 9 0
Annual Time Burden (Hours) 63 54 0 0 9 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The annual recordkeeping hour burden is 9 hours more than the current OMB inventory of 54 hours. The increase is due to an adjustment of the number of respondents from 54 to 63.

$0
No
No
No
No
No
Uncollected
Rose Wells 202 942-0143

  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.
09/27/2010


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