Pursuant to 5
CFR 1320.11(c), OMB files this comment on this information
collection request (ICR). In accordance with 5 CFR 1320, OMB is
withholding approval at this time. The agency shall examine public
comment in response to the NPRM and will include in the supporting
statement of the next ICR--to be submitted to OMB at the final rule
stage--a description of how the agency has responded to any public
comments on the ICR, including comments on maximizing the practical
utility of the collection and minimizing the burden.
Inventory as of this Action
Requested
Previously Approved
04/30/2013
36 Months From Approved
06/30/2013
29,370
0
29,370
353,760
0
353,760
0
0
0
Rule 17a-5 requires brokers and
dealers to file periodic reports of their financial and operational
condition.
With respect to the proposal,
the change in time burden would be due to a change in the estimate
of the number of respondents, resulting in a decrease of 1,812
hours (353,760 351,948 = 1,812) and the additional burden due to
the proposed amendments, resulting in an increase of 47,993 hours,
for a net increase of 46,181 annual hours.
$0
No
No
No
Yes
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.