Rule 15c2-8, 17 CFR 240.15c2-8 Delivery of Prospectus

ICR 201808-3235-001

OMB: 3235-0481

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-10-09
IC Document Collections
IC ID
Document
Title
Status
35217
Modified
216246
Modified
ICR Details
3235-0481 201808-3235-001
Active 201504-3235-010
SEC TM-270-421
Rule 15c2-8, 17 CFR 240.15c2-8 Delivery of Prospectus
Extension without change of a currently approved collection   No
Regular
Approved without change 02/06/2019
Retrieve Notice of Action (NOA) 10/25/2018
  Inventory as of this Action Requested Previously Approved
02/28/2022 36 Months From Approved 02/28/2019
2,449 0 8,884
29,250 0 98,360
12,832,000 0 27,258,400

Rule 15c2-8 of the Securities Exchange Act of 1934 ("Exchange Act") requires broker-dealers to deliver preliminary and/or final prospectuses to certain people under certain circumstances. In connection with securities offerings generally, including initial public offerings (IPOs), the rule requires broker-dealers to take reasonable steps to distribute copies of the preliminary or final prospectus to anyone who makes a written request, as well as any broker-dealer who is expected to solicit purchases of the security and who makes a request. In connection with IPOs, the rule requires a broker-dealer to send a copy of the preliminary prospectus to any person who is expected to receive a confirmation of sale (generally, this means any person who is expected actually to purchase the security in the offering) at least 48 hours prior to the sending of such confirmation. In order to comply with the rule, broker-dealers participating in a securities offering must keep accurate records of persons who have indicated interest in an IPO or requested a prospectus, so that they know to whom they must send a prospectus.

US Code: 15 USC 78o(c)(2) and 78w(a) Name of Law: Sections 15(c)(2) and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  83 FR 44331 08/30/2018
83 FR 53687 10/24/2018
No

2
IC Title Form No. Form Name
Rule 15c2-8 - Equity IPOs
Rule 15c2-8 - Debt and Non-IPO Equity Offerings

  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 2,449 8,884 0 0 -6,435 0
Annual Time Burden (Hours) 29,250 98,360 0 0 -69,110 0
Annual Cost Burden (Dollars) 12,832,000 27,258,400 0 0 -14,426,400 0
No
No
The change in the estimated reporting burden is based on a current estimate of the number of offerings covered by Rule 15c2-8, and the change in the number of broker-dealers is based on the current number of Broker-Dealers filing FOCUS Reports with the Commission.

$0
No
    No
    No
No
No
No
Uncollected
Sophia Colas 202 551-3124

  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.
10/25/2018


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