Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control

ICR 201110-3235-021

OMB: 3235-0471

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-01-13
IC Document Collections
IC ID
Document
Title
Status
35183
Modified
ICR Details
3235-0471 201110-3235-021
Historical Active 200811-3235-012
SEC TM 270-422
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
Extension without change of a currently approved collection   No
Regular
Approved with change 03/21/2012
Retrieve Notice of Action (NOA) 01/13/2012
Burden changes reclassified as changes due to agency estimate.
  Inventory as of this Action Requested Previously Approved
03/31/2015 36 Months From Approved 04/30/2012
241 0 278
2,410 0 2,780
0 0 0

Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction.

US Code: 15 USC 78o(c)(2), 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 68796 11/07/2011
77 FR 2100 01/13/2012
No

1
IC Title Form No. Form Name
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control.

  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 241 278 0 0 -37 0
Annual Time Burden (Hours) 2,410 2,780 0 0 -370 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
The estimated annual time burden of collecting information pursuant to Rule 15c1-5 has decreased slightly because of a reduction in the number of broker-dealers affected by the rule.

$0
No
No
No
No
No
Uncollected
Ignacio Sandoval 2025515662

  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.
01/13/2012


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