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View ICR - OIRA Conclusion

OMB Control No: 3235-0395	ICR Reference No: 202406-3235-005
Status: Active	Previous ICR Reference No: 202107-3235-012
Agency/Subagency: SEC	Agency Tracking No: TM-270-349
Title: Rule 15g-6; Account Statements for Penny Stock Customers
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: 10/23/2024
	Date Received in OIRA: 08/27/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2027	36 Months From Approved	01/31/2025
Responses	265,200	0	277,680
Time Burden (Hours)	13,260	0	13,884
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	265,200	277,680	-12,480
Annual Time Burden (Hours)	13,260	13,884	-624
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 estimated time burden decreased from approximately13,884 hours per year to approximately13,260 hours per year because the estimated number of broker-dealers subject to the penny stock rules 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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