Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7)

ICR 201109-3235-015

OMB: 3235-0479

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-01-03
IC Document Collections
ICR Details
3235-0479 201109-3235-015
Historical Active 200810-3235-010
SEC TM 270-420
Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7)
Extension without change of a currently approved collection   No
Regular
Approved without change 03/12/2012
Retrieve Notice of Action (NOA) 01/03/2012
  Inventory as of this Action Requested Previously Approved
03/31/2015 36 Months From Approved 03/31/2012
1 0 1
0 0 0
0 0 0

Rule 15c2-7 makes it unlawful for a broker-dealer to furnish a quotation for a security to an inter-dealer-quotation system unless certain enumerated conditions are met.

US Code: 15 USC 78o(c)(2) and 78w(a) Name of Law: Sections 15(c)(2) and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  76 FR 65221 10/20/2011
76 FR 80422 12/23/2011
No

1
IC Title Form No. Form Name
Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7)

  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 1 0 0 0 0
Annual Time Burden (Hours) 0 0 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$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.
01/03/2012


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