Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement

ICR 201504-3235-004

OMB: 3235-0410

Federal Form Document

ICR Details
3235-0410 201504-3235-004
Historical Active 201205-3235-002
SEC TM-270-359
Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement
Extension without change of a currently approved collection   No
Regular
Approved without change 12/21/2015
Retrieve Notice of Action (NOA) 11/10/2015
  Inventory as of this Action Requested Previously Approved
12/31/2018 36 Months From Approved 12/31/2015
306 0 350
7,344 0 7,900
0 0 0

Rule 17h-1T requires a broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  80 FR 23060 04/24/2015
80 FR 37032 06/29/2015
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 306 350 0 0 -44 0
Annual Time Burden (Hours) 7,344 7,900 0 0 -556 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in burden is due to (1) a decrease in the number of existing respondents from 325 to 306 and (2) the fact that no new respondents are expected to register and begin complying with Rules 17h-1T and 17h-2T.

$0
No
No
No
No
No
Uncollected
Valentina Deng 202 551-5778

  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.
11/10/2015


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