Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information.

ICR 201904-3235-006

OMB: 3235-0610

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2019-08-06
Supplementary Document
2019-08-06
Supporting Statement A
2019-08-06
ICR Details
3235-0610 201904-3235-006
Active 201603-3235-002
SEC IM-270-549
Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information.
Extension without change of a currently approved collection   No
Regular
Approved without change 09/25/2019
Retrieve Notice of Action (NOA) 08/06/2019
  Inventory as of this Action Requested Previously Approved
09/30/2022 36 Months From Approved 11/30/2019
21,251 0 20,173
47,565 0 34,200
0 0 0

Rule 248.30(a) requires broker-dealers, investment companies, and investment advisers registered with the Commission to document in writing policies and procedures to safeguard customer records and information.

US Code: 15 USC 6801 Name of Law: Gramm-Leach-Bliley Act
  
None

Not associated with rulemaking

  84 FR 16299 04/18/2019
84 FR 29563 06/24/2019
No

  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 21,251 20,173 0 0 1,078 0
Annual Time Burden (Hours) 47,565 34,200 0 0 13,365 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in estimated total annual burden hours from 34,200 to 47,565 is attributable to: (1) an increase in the staff’s estimate of the total number of broker-dealers, investment companies, and investment advisers that register with the Commission annually; and (2) a decrease in the staff’s estimate of the percent of newly registered entities that are affiliated with an existing institution.

$0
No
    No
    No
No
No
No
Uncollected
Angela Mokodean 202 551-5490 makodeana@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.
08/06/2019


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