Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

ICR 201402-3235-021

OMB: 3235-0198

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-07-23
ICR Details
3235-0198 201402-3235-021
Historical Active 201104-3235-018
SEC TM-270-195
Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions
Extension without change of a currently approved collection   No
Regular
Approved without change 09/22/2014
Retrieve Notice of Action (NOA) 07/23/2014
  Inventory as of this Action Requested Previously Approved
09/30/2017 36 Months From Approved 09/30/2014
300 0 300
600 0 600
0 0 0

Rule 15c2-5 prohibits a broker-dealer from arranging or extending certain loans to customers in connection with the offer or sale of securities, unless, before entering the transaction, the broker-dealer reasonably determines and documents that the transaction is suitable for the customer.

US Code: 15 USC 78o Name of Law: Section 15(c) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  79 FR 12707 03/06/2014
79 FR 27943 05/15/2014
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 300 300 0 0 0 0
Annual Time Burden (Hours) 600 600 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Timothy Fox 202 551-5687

  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.
07/23/2014


© 2024 OMB.report | Privacy Policy