Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

ICR 202002-3235-019

OMB: 3235-0078

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2020-08-07
Supplementary Document
2020-08-07
Supporting Statement A
2020-05-12
IC Document Collections
IC ID
Document
Title
Status
241783
New
241782
New
241781
New
241780
New
241779
New
241778
New
241777
New
241776
New
241775
New
241774
New
226411
Unchanged
226410
Unchanged
226409
Modified
226408
Modified
226407
Modified
226406
Modified
226405
Unchanged
226404
Modified
211253
Modified
211252
Modified
208490
Modified
208489
Modified
208487
Modified
208483
Modified
208482
Modified
208481
Modified
208480
Modified
208479
Modified
208478
Modified
208477
Modified
ICR Details
3235-0078 202002-3235-019
Active 201703-3235-007
SEC TM-270-173
Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)
Extension without change of a currently approved collection   No
Regular
Approved without change 10/02/2020
Retrieve Notice of Action (NOA) 08/07/2020
  Inventory as of this Action Requested Previously Approved
10/31/2023 36 Months From Approved 11/30/2020
8,725,358 0 7,864,762
722,091 0 555,596
1,505,847 0 1,848,464

Rule 15c3-3 provides for the protection of customer funds and securities in the custody of a broker-dealer. The Rule sets forth standards for (i) a broker-dealer's acceptance, custody, and use of customer securities, and (ii) the maintenance of reserves with respect to customer deposits and monies obtained from the use of customer securities. Rule 15c3-3 also contains requirements for broker-dealers that hold security futures products for customers.

US Code: 15 USC 78b, 78c, 78o, 78o-4, 78q, 78w Name of Law: Sections 2, 3, 15, 15B, 17 and 23 of the Securities Exchange Act of 1934.
  
None

Not associated with rulemaking

  85 FR 30759 05/20/2020
85 FR 47991 08/07/2020
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 8,725,358 7,864,762 0 0 860,596 0
Annual Time Burden (Hours) 722,091 555,596 0 0 166,495 0
Annual Cost Burden (Dollars) 1,505,847 1,848,464 0 0 -342,617 0
No
No
Changes in burden are due to a variety of factors including a change in the number of broker-dealers and customer accounts subject to particular burdens, amortization of certain one-time burdens not previously annualized over three years, and the addition of new burdens associated with the 2019 amendments to Rule 15c3-3.

$0
No
    No
    No
No
No
No
No
Nina Kostyukovsky 202 551-8833

  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.
08/07/2020


© 2024 OMB.report | Privacy Policy