Extension without change of a currently approved collection
No
Regular
12/21/2023
Requested
Previously Approved
36 Months From Approved
05/31/2024
2,655
2,160
1,327
1,080
0
0
Rule 15c2-1 prohibits the commingling
under the same lien of securities of margin customers (a) with
other customers without their written consent and (b) with the
broker or dealer. The rule also prohibits the rehypothecation of
customer margin securities for a sum in excess of the customers'
aggregate indebtedness.
US Code:
15 USC 78o(c)(3), 78w(a) Name of Law: Sections 15(c)(3) and
23(a) of the Securities Exchange Act of 1934
The estimated number of
respondents increased from 48 to 59 since the prior estimate.
Therefore, the annual burden estimate increased from approximately
1,080 hours to approximately 1,327 hours since the prior
estimate.
$0
No
No
No
No
No
No
No
Rose Wells 202 942-0143
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.