Rule 15a-6; Foreign Broker-Dealer Exemption

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2025 02 28_90 FR 10983_3235-0371_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-02-28	Available
2025 02 28_90 FR 10983_3235-0371_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-02-28	Repair queued
2024-12-18_89 FR 103032_3235-0371_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-02-24	Available
2024-12-18_89 FR 103032_3235-0371_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-02-24	Available
Supporting Statement_Rule 15a-6 2025.pdf	Supporting Statement A	Uploaded 2025-02-28	Repair queued
Supporting Statement_Rule 15a-6 2025.pdf	Supporting Statement A	Uploaded 2025-02-28	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34927	Rule 15a-6; Foreign Broker-Dealer Exemption		Unchanged

ICR Details

OMB Control No: 3235-0371	ICR Reference No: 202412-3235-010
Status: Active	Previous ICR Reference No: 202202-3235-016
Agency/Subagency: SEC	Agency Tracking No: TM-270-329
Title: Rule 15a-6; Foreign Broker-Dealer Exemption
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/08/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/28/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2028	36 Months From Approved	06/30/2025
Responses	2,000	0	2,000
Time Burden (Hours)	6,000	0	6,000
Cost Burden (Dollars)	0	0	0

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Abstract: To promote U.S. institutional investors’ access to foreign markets, Rule 15a-6 exempts foreign broker-dealers from having to register with the Commission under certain conditions, one of which is that U.S. registered broker-dealers must keep certain records in connection with intermediating transactions in securities between U.S. institutional investors and foreign broker-dealers relying on the exemption provided by paragraph (a)(3) of the rule. The information is collected by U.S. registered broker-dealers for the purpose of ensuring that certain conditions are met in connection with transactions they intermediate for foreign broker-dealers pursuant to Rule 15a-6(a)(3).

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Authorizing Statute(s): US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 193412
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 103032	12/18/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 10983	02/28/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 15a-6; Foreign Broker-Dealer Exemption

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ICR Summary of Burden

table that charts list of burden

	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	2,000	2,000	0	0	0	0
Annual Time Burden (Hours)	6,000	6,000	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 02/28/2025

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