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View ICR - OIRA Conclusion

OMB Control No: 3235-0392	ICR Reference No: 201412-3235-014
Status: Historical Active	Previous ICR Reference No: 201202-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM-270-346
Title: Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market
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: 06/10/2015
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 total annual hourly burden of compliance has increased from approximately 18,200 to approximately 9,245 hours due to a change in 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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