Additional records to be made and retained by brokers or dealers in securities (31 CFR 1023.410 & 1010.430)

ICR 201407-1506-007

OMB: 1506-0053

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-09-09
IC Document Collections
ICR Details
1506-0053 201407-1506-007
Historical Active 201108-1506-003
TREAS/FINCEN
Additional records to be made and retained by brokers or dealers in securities (31 CFR 1023.410 & 1010.430)
Extension without change of a currently approved collection   No
Regular
Approved without change 11/28/2014
Retrieve Notice of Action (NOA) 09/15/2014
  Inventory as of this Action Requested Previously Approved
11/30/2017 36 Months From Approved 11/30/2014
8,300 0 8,300
830,000 0 830,000
0 0 0

A broker or dealer in securities must retain an original or copy of certain documents, as specified in section 1023.410. The required records must be maintained for five years (31 CFR 1010.430).

US Code: 31 USC 5311-5330 Name of Law: Money nad Finance
  
None

Not associated with rulemaking

  79 FR 30928 05/29/2014
79 FR 52107 09/02/2014
No

1
IC Title Form No. Form Name
Additional records to be made and retained by brokers or dealers in securities

  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 8,300 8,300 0 0 0 0
Annual Time Burden (Hours) 830,000 830,000 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Russell Stephenson 202 354-6012

  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.
09/15/2014


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