Form Custody

ICR 201402-3235-007

OMB: 3235-0691

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2014-02-05
Supplementary Document
2011-11-23
IC Document Collections
IC ID
Document
Title
Status
200258 Modified
ICR Details
3235-0691 201402-3235-007
Historical Active 201111-3235-036
SEC TM-270-643
Form Custody
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 03/20/2014
Retrieve Notice of Action (NOA) 02/07/2014
SEC will make sure that the instrument contains a PRA statement along with the OMB control number as soon as possible.
  Inventory as of this Action Requested Previously Approved
03/31/2017 36 Months From Approved
18,836 0 0
226,032 0 0
0 0 0

Form Custody elicits 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
  
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

3235-AK56 Final or interim final rulemaking 78 FR 51910 08/21/2013

Yes

1
IC Title Form No. Form Name
Form Custody Form Custody Form Custody

  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 18,836 0 20,228 -1,392 0 0
Annual Time Burden (Hours) 226,032 0 242,736 -16,704 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Changing Regulations
This is a new information collection designed to elicit information about the custodial activities of broker-dealers that can serve as a starting point for securities regulators to undertake more in-depth reviews of these activities as they deem appropriate.

$0
No
No
No
No
No
Uncollected
Kimberly Chehardy 202 551-5793

  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.
02/07/2014


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