Form Custody

ICR 201111-3235-036

OMB: 3235-0691

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2011-11-23
Supporting Statement A
2011-11-23
IC Document Collections
IC ID
Document
Title
Status
200258
New
ICR Details
3235-0691 201111-3235-036
Historical Inactive
SEC TM-270-643
Form Custody
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 02/10/2012
Retrieve Notice of Action (NOA) 12/12/2011
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
36 Months From Approved
0 0 0
0 0 0
0 0 0

The amendments to Rule 17a-5(a) would, among other things, require a broker-dealer to file proposed Form Custody (17 CFR 249.1900) with its designated examining authority within 17 business days after the end of each calendar quarter and within 17 business days after the date selected for the annual report if that date is not the end of a calendar quarter. Form Custody would be designed to elicit information about broker-dealer custody of customer assets.

US Code: 15 USC 78o(c)(3), 78q(a), 78(w)(a) Name of Law: Sections 15(c)(3), 17(a), and 23(a) of the Securities Exchange Act of 1934
  
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
Form Custody

No
No
The new annual time burden of 242,736 hours is due to a rule being proposed under new statutory authority.

$0
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.
12/12/2011


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