Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...

Forms and Documents

Document Name	Status
Rule 17a-6 Justificationv3.doc Supporting Statement A	2009-04-30

IC Document Collections

IC ID	Document Title	Status
44225	Securities Exchange Act of 1934 Rule 17a-6- Right of National Securities Exchange, National Securities Association, Registered Clearing Agency, or the Municipal Securities Rulemaking Board to ...	Modified

ICR Details

OMB Control No: 3235-0489	ICR Reference No: 200904-3235-017
Status: Historical Active	Previous ICR Reference No: 200607-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM-270-433
Title: Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/23/2009
	Date Received in OIRA: 07/29/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2012	36 Months From Approved	10/31/2009
Responses	2	0	2
Time Burden (Hours)	60	0	30
Cost Burden (Dollars)	0	0	3,000

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Abstract: Rule 17a-6 permits national securities exchanges, national securities association, registered clearing agencies, or the Municipal Securities Rulemaking Board to destroy or convert to microfilm or other recording media records maintained under Rule 17a-1 if they have filed a record destruction plan with the Commission and the Commission has declared such plan effective.

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Authorizing Statute(s): US Code: 15 USC 78a et. seq. Name of Law: Sections 17a-(6) of the Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 22766	05/14/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 37740	07/29/2009
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Securities Exchange Act of 1934 Rule 17a-6- Right of National Securities Exchange, National Securities Association, Registered Clearing Agency, or the Municipal Securities Rulemaking Board to ...

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ICR Summary of Burden

	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	2	0	0	0	0
Annual Time Burden (Hours)	60	30	0	0	30	0
Annual Cost Burden (Dollars)	0	3,000	0	0	-3,000	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Estimates of burden hours have been updated to reflect the actual number of record retention plans that have been under review and revision by Commission staff, which affects the staff’s estimate of the likely number of respondents over the next few years. The Commission’s estimate of burden dollars has been reduced to zero, as the only costs associated with the information collection are reflected under the estimate of burden hours. In addition, the number of potential respondents has been adjusted. Specifically, the number of national securities exchanges has been increased from 10 to 17 to reflect the registration of additional national securities exchanges in the interim period, and the number of registered clearing agencies has been reduced from a previous figure of 10 to the current count of 9.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 07/29/2009

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