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View ICR - OIRA Conclusion

OMB Control No: 3235-0393	ICR Reference No: 201803-3235-013
Status: Historical Active	Previous ICR Reference No: 201412-3235-013
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: 02/05/2019
	Date Received in OIRA: 10/09/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	02/28/2019
Responses	1,018,875	0	1,154,725
Time Burden (Hours)	16,964	0	19,245
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,018,875	1,154,725	-135,850
Annual Time Burden (Hours)	16,964	19,245	-2,281
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 decreased from approximately 19,245 to approximately 16,965 hours due to a change in methodology for estimating the number of broker-dealers affected. We previously estimated that 221 broker-dealers were subject to the penny stock rules. We now estimate that there are approximately 195 broker-dealers subject to the penny stock rules.

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: Jane Wetterau 202 551-4483

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