View Information Collection Request (ICR) Package

Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.

View ICR - OIRA Conclusion

OMB Control No: 3235-0202	ICR Reference No: 202002-3235-023
Status: Historical Active	Previous ICR Reference No: 201703-3235-002
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: 07/27/2020
	Date Received in OIRA: 06/09/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2023	36 Months From Approved	11/30/2020
Responses	384	0	461
Time Burden (Hours)	2,724	0	2,909
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	384	461	-77
Annual Time Burden (Hours)	2,724	2,909	-185
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 estimated hourly burden results from (i) a difference in the number of information reviews conducted and (ii) the ratio of reporting issuers to non reporting issuers that the information reviews concerned during the years that served as the basis for the estimate. More specifically, because broker-dealers conducted 77 more information reviews during 2016, the period used to determine the prior estimate, than they did in 2019, the hourly burden estimate based on 2019 information reviews is lower. In addition, the ratio of reporting to non-reporting issuers in 2016 was different than in 2019, leading to a different estimated aggregate annual burden (hours).

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? No

Agency Contact: Patrice Pitts 202 551-2151

Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.