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
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.