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

ICR 201204-3235-017

OMB: 3235-0085

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-06-29
IC Document Collections
ICR Details
3235-0085 201204-3235-017
Historical Active 200906-3235-008
SEC TM-270-094
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 08/15/2012
Retrieve Notice of Action (NOA) 06/29/2012
  Inventory as of this Action Requested Previously Approved
08/31/2015 36 Months From Approved 09/30/2012
465 0 400
465 0 400
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 78q(a) Name of Law: Securities Exchange Act
   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
  
None

Not associated with rulemaking

  77 FR 24746 04/25/2012
77 FR 38864 06/29/2012
No

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

  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 465 400 0 65 0 0
Annual Time Burden (Hours) 465 400 0 65 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
No
The change in the reporting time burden is due to a change in the number of notices filed by broker-dealers pursuant to Rule 17a-11 from 2008 to 2011.

$9,118
No
No
No
No
No
Uncollected
Rachel Yura 202 551-5729

  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.
06/29/2012


© 2024 OMB.report | Privacy Policy