Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)

ICR 201703-3235-001

OMB: 3235-0201

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2017-07-11
IC Document Collections
ICR Details
3235-0201 201703-3235-001
Historical Active 201311-3235-005
SEC TM-270-189
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)
Extension without change of a currently approved collection   No
Regular
Approved without change 08/31/2017
Retrieve Notice of Action (NOA) 07/11/2017
  Inventory as of this Action Requested Previously Approved
08/31/2020 36 Months From Approved 09/30/2017
716 0 795
3,580 0 3,975
0 0 0

The syndicate manager in an offering of securities must collect and retain information regarding stabilizing transactions, syndicate covering transactions, and penalty bids. The Commission does not receive such information and uses it only upon request pursuant to an investigation.

US Code: 15 USC 78o, 78q, and 78w Name of Law: Sections 15, 17, and 23 of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  82 FR 17494 04/11/2017
82 FR 27539 06/15/2017
No

1
IC Title Form No. Form Name
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)

  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 716 795 0 0 -79 0
Annual Time Burden (Hours) 3,580 3,975 0 0 -395 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in annual burden hours from 3,975 to 3,580 is due to a decrease in the amount of firm commitment underwritten offerings from 795 to 716.

$0
No
    No
    No
No
No
No
Uncollected
Sam Litz 202 551-8309

  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.
07/11/2017


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