Form CRS and rule 17a-14 under the Exchange Act

ICR 201907-3235-029

OMB: 3235-0766

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-09-25
Supplementary Document
2019-02-13
IC Document Collections
ICR Details
3235-0766 201907-3235-029
Historical Inactive 201805-3235-013
SEC IM-270-809
Form CRS and rule 17a-14 under the Exchange Act
Existing collection in use without an OMB Control Number   No
Withdrawn 09/30/2019
Retrieve Notice of Action (NOA) 08/07/2019
  Inventory as of this Action Requested Previously Approved
0 0 0
0 0 0
0 0 0

Rule 17a-14 under the Exchange Act and Form CRS will require a broker-dealer that offers services to retail investors to prepare and file with the Commission through WebCRD®, post to the broker-dealer’s website (if it has one), and deliver to retail investors a relationship summary. The relationship summary will assist retail investors in making an informed choice about whether to hire or retain a broker-dealer, as well as what types of accounts and services are appropriate for their needs.

US Code: 15 USC 78j Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 913(f) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940
US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934

3235-AL27 Final or interim final rulemaking 84 FR 33492 07/12/2019

Yes

1
IC Title Form No. Form Name
Form CRS and Rule 17a-14 under the Securities Exchange Act of 1934

No
No
This is the first request for approval of the collection of information for this rule.

No
    Yes
    No
No
No
No
Uncollected
Olawale Oriola 202 551-6541

  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.
08/07/2019


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