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
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.