View Information Collection Request (ICR) Package
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View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
3235-0018
ICR Reference No:
201104-3235-022
Status:
Historical Active
Previous ICR Reference No:
200805-3235-019
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-17
Title:
Rule 15b6-1 and Form BDW
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:
08/19/2011
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/18/2011
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2014
36 Months From Approved
10/31/2011
Responses
515
0
737
Time Burden (Hours)
515
0
184
Cost Burden (Dollars)
0
0
0
Abstract:
Form BDW is used by the Commission to determine whether it is in the public interest to permit a broker-dealer or a notice-registered broker-dealer to withdraw its registration. In accordance with the instructions contained on Form BDW, the Form must be filed electronically with the Central Registration Depository ("CRD") a computer system operated by the Financial Industry Regulatory Authority, Inc. ("FINRA"), which maintains information regarding broker-dealers and their registered personnel.
Authorizing Statute(s):
US Code:
15 USC 15 U.S.C. 77c, 77d, 77g, 77j
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 77s, 77z-2, 77z-3, 77eee
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 77ggg, 77nnn, 77sss, 77ttt
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78c, 78d, 78e, 78f
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78g, 78i, 78j, 78j-1, 78k
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78k-1, 78l, 78m, 78n, 78o
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78p, 78q, 78s, 78u-5
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78w, 78x, 78ll, 78mm
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 80a- 20, 80a-23, 80a-29
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 80a-37, 80b-3, 80b-4
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 80b-11, and 7201 et seq
Name of Law: Securities Exchange Act of 1934
US Code:
18 USC 1350
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
76 FR 25381
05/04/2011
30-day Notice:
Federal Register Citation:
Citation Date:
76 FR 39447
07/06/2011
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Rule 15b6-1 and Form BDW
SEC 122
Form BDW
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
515
737
0
0
-222
0
Annual Time Burden (Hours)
515
184
0
0
331
0
Annual Cost Burden (Dollars)
0
0
0
0
0
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:
The annual time burden of 515 hours reflects a 331 hour increase over the current OMB annual inventory of 184 hours. This change incorporates three changes - a decrease in the number of respondents from 737 to 515, an elimination of the assessment of possible third party submissions, and an increase in estimated time frame necessary to review, complete and file the Form BDW.
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]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Bonnie Gauch 202 942-0765
Common Form ICR:
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:
(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:
07/18/2011
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