Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

ICR 201107-3235-003

OMB: 3235-0133

Federal Form Document

ICR Details
3235-0133 201107-3235-003
Historical Active 200807-3235-009
SEC TM-270-148
Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members
Extension without change of a currently approved collection   No
Regular
Approved without change 11/25/2011
Retrieve Notice of Action (NOA) 09/21/2011
  Inventory as of this Action Requested Previously Approved
11/30/2014 36 Months From Approved 11/30/2011
1,200 0 600
300 0 150
0 0 0

Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary.

None
None

Not associated with rulemaking

  76 FR 41827 07/15/2011
76 FR 58548 09/21/2011
No

  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 1,200 600 0 0 600 0
Annual Time Burden (Hours) 300 150 0 0 150 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The burden has been increased to reflect an increase in the number of membership changes taking place in national securities exchanges and registered national securities associations and the resulting increase in the annual number of Form X-17A-19 filings with the Commission.

$0
No
No
No
No
No
Uncollected
Rose Wells 2025515527

  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.
09/21/2011


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