Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

ICR 201908-3235-022

OMB: 3235-0035

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2019-11-26
Supplementary Document
2019-11-26
Supporting Statement A
2019-08-27
ICR Details
3235-0035 201908-3235-022
Active 201611-3235-039
SEC TM-270-27
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 01/30/2020
Retrieve Notice of Action (NOA) 12/05/2019
  Inventory as of this Action Requested Previously Approved
01/31/2023 36 Months From Approved 03/31/2020
3,744 0 16,268
374,400 0 406,700
0 0 0

Rule 17a-13 was adopted in 1971 to ensure that brokers and dealers posses or control securities as indicated in their records and that they know the location of those securities which they are to receive or deliver. Any differences must be reported in the broker's or dealer's records.

None
None

Not associated with rulemaking

  84 FR 46982 09/06/2019
84 FR 64166 11/20/2019
No

1
IC Title Form No. Form Name
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

  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 3,744 16,268 0 0 -12,524 0
Annual Time Burden (Hours) 374,400 406,700 0 0 -32,300 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The change in the recordkeeping burden is due to a change in the estimated number of broker-dealers subject to Rule 17a-13. The estimated number of broker-dealers decreased from 4,067 to 3,744. Therefore, the compliance burden decreased from 406,700 hours (4,067 respondents x 100 hours/respondent) to 374,400 hours (3,744 respondents x 100 hours/respondent), resulting in a burden change of 32,300 less hours.

$0
No
    No
    No
No
No
No
Uncollected
Jane Wetterau 202 551-4483

  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.
12/05/2019


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