OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 204

ICR 201206-3235-003 · OMB 3235-0647 · Historical Active

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-06-08
IC Document Collections
IC ID
Document
Title
Status
190781
Modified
190780
Modified
190779
Modified
190778
Modified
186911
Modified
ICR Details
3235-0647 201206-3235-003
Historical Active 200909-3235-010
SEC TM-270-586
Rule 204
Extension without change of a currently approved collection   No
Regular
Approved without change 10/01/2012
Retrieve Notice of Action (NOA) 08/24/2012
  Inventory as of this Action Requested Previously Approved
10/31/2015 36 Months From Approved 11/30/2012
11,557,638 0 11,569,341
1,849,222 0 1,851,093
0 0 0
Rule 204 is intended to help further the Commission’s goal of reducing fails to deliver by maintaining the reductions in fails to deliver achieved by the adoption of temporary Rule 204T, as well as other actions taken by the Commission. In addition, Rule 204 is intended to help further the Commission’s goal of addressing abusive ‘‘naked’’ short selling in all equity securities. The information collected will continue to assist the Commission and self-regulatory organizations in monitoring whether or not participants of a registered clearing agency, and the broker-dealers from which they receive trades for clearance and settlement, are complying with the close-out and borrowing requirements of the rule.
US Code: 15 USC 78b, 78i(h), 78j, 78k-1, 78o, Name of Law: Sections 2, 9(h), 10, 11A, 15, 17, 17A, 19 and 23(a) of the Exchange Act
   US Code: 15 USC 78q, 78q-1, 78w(a) Name of Law: null
  
US Code: 15 USC 78b, 78c(b), 78f, 78i(h), 78j Name of Law: Sections 2, 3(b), 6, 9(h), 10 of the Securities Exchange Act of 1934
US Code: 15 USC 78k-1, 78o, 78o-3, 78q, 78q-1 Name of Law: Sections 11A, 15, 15A, 17, 17A of the Securities Exchange Act of 1934
US Code: 15 USC 78s and 78w(a) Name of Law: Sections 19 and 23(a) of the Securities Exchange Act of 1934
Not associated with rulemaking
  77 FR 36586 06/19/2012
77 FR 51586 08/24/2012
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 11,557,638 11,569,341 0 -11,703 0 0
Annual Time Burden (Hours) 1,849,222 1,851,093 0 -1,871 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
Yes
Miscellaneous Actions
The decrease in the total aggregate time burden of 1,871 hours is due to a decrease in the number of registered broker-dealers and the number of participants of NSCC from the prior time period combined with a slight increase in the number of securities affected. The discrepancy of two hours between the supporting statement and ROCIS summary of burden (1,849,224 vs 1,849,222) is due to the rounding calculation of the ROCIS application.
$0
No
No
No
No
No
Uncollected
Andrea Orr 202 551-5626
  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.
08/24/2012