Rule 15c1-6 (17 CFR
240.15c1-6) Disclosure of Interest in Distribution.
Extension without change of a currently approved collection
No
Regular
11/09/2020
Requested
Previously Approved
36 Months From Approved
02/28/2021
365
394
3,650
3,940
0
0
Rule 15c1-6 states that any
broker-dealer trying to sell to or buy from a customer a security
in a primary or secondary distribution in which the broker-dealer
is participating or is otherwise financially interested must give
the customer written notification of the broker-dealer's
participation or interest at or before completion of the
transaction.
US Code:
15 USC 78o(c)(2), 78w(a) Name of Law: Sections 15(c)(2) and
23(a) of the Securities Exchange Act of 1934
The estimated burden of
collecting information pursuant to Rule 15c1-6 has decreased from
approximately 3,940 hours per year to approximately 3,650 hours per
year due to a reduction in the number of broker-dealers affected by
the rule.
$0
No
No
No
No
No
No
No
Jane Wetterau 202
551-4483
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.