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View ICR - OIRA Conclusion

OMB Control No: 3235-0393	ICR Reference No: 201412-3235-013
Status: Historical Active	Previous ICR Reference No: 201202-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM-270-347
Title: Rule 15g-4; Disclosure of compensation to brokers or dealers
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: 10/22/2015
	Date Received in OIRA: 06/04/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2018	36 Months From Approved	10/31/2015
Responses	1,154,725	0	1,092,025
Time Burden (Hours)	19,245	0	18,200
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,154,725	1,092,025	62,700
Annual Time Burden (Hours)	19,245	18,200	1,045
Annual Cost Burden (Dollars)	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 compliance has increased from approximately 18,200 hours to approximately 19,245 hours due to a change in the methodology for estimating the number of broker-dealers affected. We previously estimated that 209 broker-dealers were subject to the penny stock rules. We now estimate that there are approximately 221 broker-dealers subject to the penny stock rules.

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