Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)

ICR 201307-3235-011

OMB: 3235-0088

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2013-11-01
IC Document Collections
ICR Details
3235-0088 201307-3235-011
Historical Active 201007-3235-021
SEC TM-270-091
Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)
Extension without change of a currently approved collection   No
Regular
Approved without change 12/27/2013
Retrieve Notice of Action (NOA) 11/01/2013
  Inventory as of this Action Requested Previously Approved
12/31/2016 36 Months From Approved 12/31/2013
1 0 1
4 0 4
0 0 0

Rule 15Ba-5, adopted July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 1975), permits a duly-appointed fiduciary to assume immediate responsibility for the operation of a municipal securities dealers's business.

US Code: 15 USC 78o(a), 78o(b), 78q(a), and 78 Name of Law: Sections 15(a), 15(b), 17(a) and 23(a) of the Securities Exchange Act of 1934.
  
None

Not associated with rulemaking

  78 FR 48205 08/07/2013
78 FR 62715 10/22/2013
No

1
IC Title Form No. Form Name
Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)

  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 1 1 0 0 0 0
Annual Time Burden (Hours) 4 4 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$70
No
No
No
No
No
Uncollected
Kevin Schopp 202 551-5643

  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.
10/22/2013


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