Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

Forms and Documents

Document Name	Status
2013 Rule 17a-13 Supporting Statement (2) DGL REVISED.pdf Supporting Statement A	2014-02-26

IC Document Collections

IC ID	Document Title	Status
34101	Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.	Modified

ICR Details

OMB Control No: 3235-0035	ICR Reference No: 201312-3235-004
Status: Historical Active	Previous ICR Reference No: 201102-3235-021
Agency/Subagency: SEC	Agency Tracking No: TM-270-27
Title: Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.
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: 05/05/2014
	Date Received in OIRA: 02/26/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2017	36 Months From Approved	06/30/2014
Responses	17,848	0	20,120
Time Burden (Hours)	446,200	0	503,000
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-13 was adopted in 1971 to ensure that brokers and dealers posses or control securities as indicated in their records and that they know the location of those securities which they are to receive or deliver. Any differences must be reported in the broker's or dealer's records.

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Authorizing Statute(s): None

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:
	78 FR 77174	12/20/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 10211	02/24/2014
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

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ICR Summary 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	17,848	20,120	0	-2,272	0	0
Annual Time Burden (Hours)	446,200	503,000	0	-56,800	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The change in the recordkeeping burden is due to the change in the estimated number of broker-dealers subject to Rule 17a-13. The estimated number of broker-dealers decreased from 5,030 to 4,462. Therefore, the compliance burden decreased from 503,000 hours (5,030 respondents x 100 hours/respondent) to 446,200 hours (4,462 respondents x 100 hours/respondent).

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Annual Cost to Federal Government: $127,000

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

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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: 02/26/2014

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