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View ICR - OIRA Conclusion

OMB Control No: 3235-0200	ICR Reference No: 201404-3235-006
Status: Historical Inactive	Previous ICR Reference No: 201309-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM-270-197
Title: Rule 15c3-1; Net Capital Requirements for Brokers and Dealers
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 05/06/2014
	Date Received in OIRA: 04/22/2014
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2017	36 Months From Approved	10/31/2016
Responses	2,117	0	1,249
Time Burden (Hours)	63,136	0	55,179
Cost Burden (Dollars)	160,000	0	160,000

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	2,117	1,249	868
Annual Time Burden (Hours)	63,136	55,179	7,957
Annual Cost Burden (Dollars)	160,000	160,000	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: No

Burden Reduction Due to:

Short Statement: The Commission adopted amendments to Rule 15c3-1 as part of the amendments to remove references to credit ratings under the Exchange Act.

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