Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.

ICR 200906-3235-008

OMB: 3235-0085

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2009-06-10
IC Document Collections
ICR Details
3235-0085 200906-3235-008
Historical Active 200609-3235-042
SEC TM-270-094
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 09/28/2009
Retrieve Notice of Action (NOA) 08/19/2009
  Inventory as of this Action Requested Previously Approved
09/30/2012 36 Months From Approved 12/31/2009
400 0 600
400 0 600
0 0 0

Rule 17a-11 was adopted in 1971 to provide advance warning and information regarding brokers and dealers that are experiencing financial or operational difficulties.

US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78o(c)(3) Name of Law: Securities Exchange Act
  
None

Not associated with rulemaking

  74 FR 28075 06/12/2009
74 FR 41949 08/19/2009
No

1
IC Title Form No. Form Name
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for 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 400 600 0 0 -200 0
Annual Time Burden (Hours) 400 600 0 0 -200 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
Change due to reduction of agency estimate of number of respondents.

$7,843
No
No
Uncollected
Uncollected
No
Uncollected
Rose Wells 202 942-0143

  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.
08/19/2009


© 2024 OMB.report | Privacy Policy