Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.

ICR 201111-3235-035

OMB: 3235-0085

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2011-11-23
Supplementary Document
2011-11-23
IC Document Collections
ICR Details
3235-0085 201111-3235-035
Historical Inactive 200906-3235-008
SEC TM-270-094
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 02/10/2012
Retrieve Notice of Action (NOA) 12/13/2011
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
09/30/2012 36 Months From Approved 09/30/2012
400 0 600
400 0 600
0 0 0

Rule 17a-11 was adopted in 1971 to provide advance warning and information regarding brokers and dealers that are experiencing financial or operational difficulties.

US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78o(c)(3) Name of Law: Securities Exchange Act
   US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act
  
PL: Pub.L. 111 - 203 982 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

3235-AK56 Proposed rulemaking 76 FR 37572 06/27/2011

No

1
IC Title Form No. Form Name
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.

No
No
Note that Rule 17a-11 has been proposed to be amended under new statutory authority. However, the proposed amendments to Rule 17a-11 are not expected to result in a change to the burden. Nevertheless, because this rule is being amended (along with others as explained in the proposing release), we are submitting this application to OMB at this time.

$9
No
No
No
Yes
No
Uncollected
Rose Wells 202 942-0143

  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.
12/13/2011


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