Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

ICR 202009-3235-002

OMB: 3235-0133

Federal Form Document

ICR Details
3235-0133 202009-3235-002
Received in OIRA 201711-3235-003
SEC TM-270-148
Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members
Extension without change of a currently approved collection   No
Regular 12/01/2020
  Requested Previously Approved
36 Months From Approved 03/31/2021
408 800
102 200
0 0

Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary.

None
None

Not associated with rulemaking

  85 FR 59365 09/21/2020
85 FR 77312 12/01/2020
No

  Total Request 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 408 800 0 0 -392 0
Annual Time Burden (Hours) 102 200 0 0 -98 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated annual industry burden has decreased from 200 hours to 102 hours based on a lower estimate of the number of Form X-17A-19s that the Commission receives on an annual basis.

$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.
12/01/2020


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