Exchange Act Rule 17a-11: Notification Provisions for Brokers and Dealers (17 CFR 240.17a-11)

ICR 201608-3235-004

OMB: 3235-0085

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-08-23
ICR Details
3235-0085 201608-3235-004
Historical Inactive 201406-3235-016
SEC TM-270-094
Exchange Act Rule 17a-11: Notification Provisions for Brokers and Dealers (17 CFR 240.17a-11)
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 10/28/2016
Retrieve Notice of Action (NOA) 08/23/2016
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
  
None

3235-AL45 Proposed rulemaking 79 FR 25193 05/02/2014

No

Yes
Changing Regulations
No
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.
08/23/2016


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