Pursuant to 5
CFR 1320.11(c), OMB files this comment on this information
collection request (ICR. The agency shall examine public comment in
response to the NPRM and will describe in the supporting statement
of its next collection any public comments received regarding the
collection as well as why (or why it did not) incorporate the
commenter’s recommendation. The next submission to OMB must include
the draft final rule.
Inventory as of this Action
Requested
Previously Approved
36 Months From Approved
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Proposed rule 15Fi-1 would adopt
documentation standards for the timely and accurate acknowledgment
and verification of SBS transactions by SBS Entities. The proposed
rule contains six paragraphs: (a) definitions of relevant terms;
(b) the trade acknowledgment obligations of specific SBS Entities;
(c) the prescribed time frames under which a trade acknowledgment
must be sent; (d) the form and content requirements of the trade
acknowledgment; (e) an SBS Entities' verification obligations; and
(f) a limited exemption for brokers from the requirements of
Exchange Act Rule 10b-10.
US Code:
15
USC 78o-8(i) Name of Law: Securities Exchange Act of 1934
US Code: 15 USC 78o-8(i) Name of Law:
Securities Exchange Act of 1934
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.