View Information Collection Request (ICR) Package

Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.

View ICR - OIRA Conclusion

OMB Control No: 3235-0647	ICR Reference No: 200909-3235-010
Status: Historical Active	Previous ICR Reference No: 200904-3235-016
Agency/Subagency: SEC	Agency Tracking No: TM-270-586
Title: Rule 204
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: 11/12/2009
	Date Received in OIRA: 10/09/2009
Terms of Clearance: Changes in the collection warrant this ICR being classified as a revision.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2012	36 Months From Approved	11/30/2009
Responses	11,569,341	0	13,264,252
Time Burden (Hours)	1,851,093	0	2,122,280
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	11,569,341	13,264,252	-1,694,911
Annual Time Burden (Hours)	1,851,093	2,122,280	-271,187
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: All collections of information from temporary Rule 204T have been incorporated into Rule 204 without modification, with the exception of the elimination in Rule 204 of the exception in temporary Rule 204T(b)(2) for market makers from the borrowing requirement in Rule 204(b). Such exception is no longer necessary under Rule 204(b) because, as with other broker-dealers, a market maker is excepted from the borrowing requirements of Rule 204(b) if it timely certifies to the participant that it has not incurred a fail to deliver position on settlement date for a long or short sale in an equity security for which the participant has a fail to deliver position at a registered clearing agency or that it is in compliance with the requirements of Rule 204(e). Because Rule 204(b) includes an exception applicable to all broker-dealers, including market makers, it was not necessary to maintain a separate exception applicable only to market makers.

Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.