Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...

ICR 201804-3235-018

OMB: 3235-0489

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-10-09
ICR Details
3235-0489 201804-3235-018
Active 201502-3235-008
SEC TM-270-433
Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...
Extension without change of a currently approved collection   No
Regular
Approved without change 02/11/2019
Retrieve Notice of Action (NOA) 10/09/2018
  Inventory as of this Action Requested Previously Approved
02/28/2022 36 Months From Approved 02/28/2019
2 0 2
60 0 60
0 0 0

Rule 17a-6 permits national securities exchanges, national securities association, registered clearing agencies, or the Municipal Securities Rulemaking Board to destroy or convert to microfilm or other recording media records maintained under Rule 17a-1 if they have filed a record destruction plan with the Commission and the Commission has declared such plan effective.

US Code: 15 USC 78a et. seq. Name of Law: Sections 17a-(6) of the Exchange Act
  
None

Not associated with rulemaking

  83 FR 20899 05/08/2018
83 FR 34191 07/19/2018
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 2 2 0 0 0 0
Annual Time Burden (Hours) 60 60 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
    No
    No
No
No
No
Uncollected
Heidi Pilpel 202 551-5666

  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.
10/09/2018


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