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View ICR - OIRA Conclusion

OMB Control No: 3235-0393	ICR Reference No: 202405-3235-010
Status: Active	Previous ICR Reference No: 202106-3235-011
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: 09/27/2024
	Date Received in OIRA: 08/09/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2027	36 Months From Approved	01/31/2025
Responses	888,250	0	930,050
Time Burden (Hours)	14,804	0	15,501
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	888,250	930,050	-41,800
Annual Time Burden (Hours)	14,804	15,501	-697
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 estimated annual time burden has decreased from approximately 15,501 hours to approximately 14,804 hours because the estimated number of broker-dealers subject to the penny stock rules has decreased from 178 to 170.

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: Jane Wetterau 202 551-4483

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