Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement

ICR 201205-3235-002

OMB: 3235-0410

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-07-26
ICR Details
3235-0410 201205-3235-002
Historical Active 200906-3235-009
SEC TM-270-359
Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement
Extension without change of a currently approved collection   No
Regular
Approved without change 11/01/2012
Retrieve Notice of Action (NOA) 09/24/2012
  Inventory as of this Action Requested Previously Approved
11/30/2015 36 Months From Approved 11/30/2012
350 0 592
7,900 0 3,552
0 0 0

Rule 17h-1T requires a broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  77 FR 31408 05/25/2012
77 FR 44699 07/30/2012
No

  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 350 592 0 50 -292 0
Annual Time Burden (Hours) 7,900 3,552 0 1,200 3,148 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
No
The change in annual time burden is due to an increase in the number of respondents and the number of firms expected to register.

$0
No
No
No
No
No
Uncollected
Leigh Bothe 2125515511

  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.
09/24/2012


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