Rule 211h-1 under the Investment Advisers Act of 1940

ICR 201805-3235-015

OMB: 3235-0770

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-07-31
IC Document Collections
IC ID
Document
Title
Status
231411
New
ICR Details
3235-0770 201805-3235-015
Historical Inactive
SEC IM-270-812
Rule 211h-1 under the Investment Advisers Act of 1940
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 08/01/2019
Retrieve Notice of Action (NOA) 02/12/2019
OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. 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
0 0 0
0 0 0
0 0 0

This proposed rule would require a broker-dealer registered under the Exchange Act to prominently disclose that it is registered as a broker-dealer with the Commission in print or electronic retail investor communications. The proposed rule also would require an associated natural person of a broker or dealer to prominently disclose that he or she is an associated person of a broker or dealer registered with the Commission in print or electronic retail investor communications

US Code: 15 USC 80b-11(h) Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-6a Name of Law: Investment Advisers Act of 1940
   US Code: 15 USC 80b-11(a) Name of Law: Investment Advisers Act of 1940
   PL: Pub.L. 111 - 203 913(f), 124 Stat. 1376 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940

3235-AL27 Proposed rulemaking 83 FR 21416 04/18/2018

No

1
IC Title Form No. Form Name
Proposed Rule 211h-1

No
No
This is the first request for approval of the collection of information for this rule.

No
    No
    No
No
No
No
Uncollected
Gena Lai 202 551-5589 laig@sec.gov

  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.
02/12/2019


© 2024 OMB.report | Privacy Policy