OMB files this
comment in accordance with 5 CFR 1320.11( c ). This OMB action is
not an approval to conduct or sponsor an information collection
under the Paperwork Reduction Act of 1995. This action has no
effect on any current approvals. If OMB has assigned this ICR a new
OMB Control Number, the OMB Control Number will not appear in the
active inventory. For future submissions of this information
collection, reference the OMB Control Number provided. Pursuant to
5 CFR 1320.11(c), OMB files this comment on this information
collection request (ICR). In accordance with 5 CFR 1320, OMB is
withholding approval at this time. The agency shall examine public
comment in response to the NPRM and will include in the supporting
statement of the next ICR--to be submitted to OMB at the final rule
stage--a description of how the agency has responded to any public
comments on the ICR, including comments on maximizing the practical
utility of the collection and minimizing the burden. This action
has no effect on any current approvals.
Inventory as of this Action
Requested
Previously Approved
05/31/2017
36 Months From Approved
07/31/2017
2,117
0
2,117
63,136
0
63,136
160,000
0
160,000
Rule 15c3-1 was adopted in 1971 to
ensure that brokers and dealers maintain sufficient liquid assets
in excess of liabilities to promptly satisfy the claims of
customers in the event the broker or dealer fails.
The increase in the annual hour
burden of 15,076 hours is attributable to the proposed amendments
in the SBSD Proposing Release, described in paragraph 12 in the
supporting statement. There is no change in the current cost
estimate of $160,000.
$0
No
No
No
Yes
No
Uncollected
Sheila Swartz 202
551-5545
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.