Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)

ICR 201102-3235-020

OMB: 3235-0201

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2011-05-03
IC Document Collections
ICR Details
3235-0201 201102-3235-020
Historical Active 200802-3235-002
SEC TM-270-189
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)
Extension without change of a currently approved collection   No
Regular
Approved without change 06/14/2011
Retrieve Notice of Action (NOA) 05/12/2011
  Inventory as of this Action Requested Previously Approved
06/30/2014 36 Months From Approved 07/31/2011
745 0 795
3,725 0 3,975
0 0 0

The syndicate manager in an offering of securities must collect and retain information regarding stabilizing transactions, syndicate covering transactions, and penalty bids. The Commission does not receive such information and uses it only upon request pursuant to an investigation.

US Code: 15 USC 78o, 78q, and 78w Name of Law: Sections 15, 17, and 23 of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  76 FR 13001 03/09/2011
76 FR 27672 05/12/2011
No

1
IC Title Form No. Form Name
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)

  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 745 795 0 0 -50 0
Annual Time Burden (Hours) 3,725 3,975 0 0 -250 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in the annual burden hours is due to a decrease in the amount of firm commitment offerings in 2010 from the underwritten offering calculation used in prior years.

$0
No
No
No
No
No
Uncollected
Barry O'Connell 202 551-5787 [email protected]

  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.
05/12/2011


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