REQUIREMENTS APPLICABLE TO PENNY STOCK MARKET MAKERS -- 17 CFR 240.15G-7(A)

ICR 199403-3235-009

OMB: 3235-0396

Federal Form Document

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ICR Details
3235-0396 199403-3235-009
Historical Active 199103-3235-006
SEC
REQUIREMENTS APPLICABLE TO PENNY STOCK MARKET MAKERS -- 17 CFR 240.15G-7(A)
Extension without change of a currently approved collection   No
Regular
Approved without change 05/13/1994
Retrieve Notice of Action (NOA) 03/29/1994
  Inventory as of this Action Requested Previously Approved
05/31/1997 05/31/1997 05/31/1994
810,000 0 810,000
13,500 0 13,500
0 0 0

PROPOSED RULE 15G-7(A) WOULD REQUIRE BROKERS OR DEALERS THAT EFFECT TRANSACTIONS IN PENNY STOCKS AND ARE THE ONLY MAKERS WITH RESPECT TO SUCH PENNY STOCKS TO DISCLOSE TO THE CUSTOMERS THEIR STATUS AS THE SOL MARKET MAKER.

None
None


No

1
IC Title Form No. Form Name
REQUIREMENTS APPLICABLE TO PENNY STOCK MARKET MAKERS -- 17 CFR 240.15G-7(A)

  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 810,000 810,000 0 0 0 0
Annual Time Burden (Hours) 13,500 13,500 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  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.
03/29/1994


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