View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0202	ICR Reference No: 201703-3235-002
Status: Historical Active	Previous ICR Reference No: 201403-3235-010
Agency/Subagency: SEC	Agency Tracking No: TM-270-196
Title: Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)
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: 11/20/2017
	Date Received in OIRA: 07/28/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2020	36 Months From Approved	11/30/2017
Responses	461	0	1,009
Time Burden (Hours)	2,909	0	6,836
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	461	1,009	-548
Annual Time Burden (Hours)	2,909	6,836	-3,927
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 decrease in total burden hours is due to a decrease in the number of applications from broker-dealers to initiate or resume publication of covered OTC securities from the prior time period. In addition, the ratio of covered OTC securities of reporting issuers to covered OTC securities of non-reporting issuers increased, and the recordkeeping burden on reporting issuers is less than that of non-reporting issuers.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. 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: Sam Litz 202 551-8309

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