Exchange Act Rule 17f-1(b) – Requirements for reporting and inquiry with respect to missing, lost, stolen, or counterfeit securities (17 CFR 240.17f-1(b))

ICR 201506-3235-003

OMB: 3235-0032

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2015-09-08
ICR Details
3235-0032 201506-3235-003
Historical Active 201205-3235-004
SEC TM-270-028
Exchange Act Rule 17f-1(b) – Requirements for reporting and inquiry with respect to missing, lost, stolen, or counterfeit securities (17 CFR 240.17f-1(b))
Extension without change of a currently approved collection   No
Regular
Approved without change 11/05/2015
Retrieve Notice of Action (NOA) 09/08/2015
Prior to renewal, agency will make explicit the statute that provides SEC with the authority to keep the program database confidential.
  Inventory as of this Action Requested Previously Approved
11/30/2018 36 Months From Approved 11/30/2015
10 0 1,000
5 0 500
0 0 0

Rule 17f-1(b) requires approximately 26,000 entities in the securities industry to register in the Lost and Stolen Securities Program. Registration fulfills a statutory requirement that entities report and inquire about missing, lost, counterfeit, or stolen securities. Registration also allows entities in the securities industry access to a confidential database that stores information for the Lost and Stolen Securities Program

US Code: 15 USC 78a Name of Law: null
  
None

Not associated with rulemaking

  80 FR 35691 06/22/2015
80 FR 52815 09/01/2015
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 10 1,000 0 0 -990 0
Annual Time Burden (Hours) 5 500 0 0 -495 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in burden results from a decrease in the number of entities that newly register each year with SIC.

$7,500
No
No
No
No
No
Uncollected
Mark Saltzburg 202 551-5593

  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.
09/08/2015


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