Pending comments
on proposed rule; revisit for final rule.
Inventory as of this Action
Requested
Previously Approved
07/31/2017
36 Months From Approved
11/30/2017
546
0
546
737
0
737
0
0
0
Rule 17a-11 was adopted in 1971 to
provide advance warning and information regarding brokers and
dealers that are experiencing financial or operational
difficulties.
US Code:
15
USC 78q(a) Name of Law: Securities Exchange Act
US Code: 15
USC 78w(a) Name of Law: Securities Exchange Act
US Code:
15 USC 78o(c)(3) Name of Law: Securities Exchange Act
The annual ongoing hour burden
of 880 hours reflects a143 hour increase from the current OMB
inventory of 737 hours. This change reflects an additional 111
hours due to the proposed amendments to Rule 17a-11 described in
the SBS Recordkeeping Release and an increase of 32 hours in the
number of notices received by the Commission under the currently
existing rule (from 465 notices to 497 notices).
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.