Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

ICR 201309-3235-003

OMB: 3235-0279

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2013-09-12
IC Document Collections
ICR Details
3235-0279 201309-3235-003
Historical Active 201102-3235-016
SEC TM-270-198
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection   No
Regular
Approved without change 10/28/2013
Retrieve Notice of Action (NOA) 09/12/2013
  Inventory as of this Action Requested Previously Approved
10/31/2016 36 Months From Approved 05/31/2014
4,709 0 5,057
1,196,086 0 1,284,478
23,545,000 0 25,285,000

Rule 17a-4 requires certain records to be maintained by certain exchange members and registered brokers and dealers.

US Code: 15 USC 78b, 78c, 78o, 78o-4, 78q, 78w Name of Law: Sections 2, 3, 15, 15B, 17 and 23 of the Securities Exchange Act of 1934
  
None

3235-AJ85 Final or interim final rulemaking 78 FR 51824 08/21/2013

No

1
IC Title Form No. Form Name
Rule 17a-4; Records to be Preserved by Certain Exchange Members, 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 4,709 5,057 0 -348 0 0
Annual Time Burden (Hours) 1,196,086 1,284,478 0 -88,392 0 0
Annual Cost Burden (Dollars) 23,545,000 25,285,000 0 -1,740,000 0 0
No
Yes
Miscellaneous Actions
Overall, the annual recordkeeping hour burden and costs have generally decreased due to a decrease in the overall number of registered broker-dealers from 5,057 in 2010 to 4,709 in 2011.

$0
No
No
No
No
No
Uncollected
Sheila Swartz 202 551-5545

  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.
09/12/2013


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