[Federal Register Volume 91, Number 107 (Thursday, June 4, 2026)]
[Notices]
[Page 33832]
From the Federal Register Online via the Government Publishing Office [ www.gpo.gov ]
[FR Doc No: 2026-11209]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0200]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Rule 15c3-1
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is submitting to the Office of
Management and Budget (``OMB'') this request for approval of extension
of the previously approved collection of information provided for in
Rule 15c3-1 (17 CFR 240.15c3-1) under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 15c3-1 requires brokers-dealers to have at all times
sufficient liquid assets to meet their current liabilities,
particularly the claims of customers. The rule facilitates the
monitoring of the financial condition of broker-dealers by the
Commission and the various self-regulatory organizations. It is
estimated that broker-dealer respondents registered with the Commission
and subject to the collection of information requirements of Rule 15c3-
1 incur an aggregate annual time burden of approximately 67,773 hours
to comply with this rule and an aggregate annual cost burden of
approximately $133,867.
Rule 15c3-1 does not contain record retention requirements.
Compliance with the rule is mandatory. The required records are
available only to the examination staff of the Commission and the self-
regulatory organization of which the broker-dealer is a member.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
The public may view and comment on this information collection
request at: https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202603-3235-022 or email comment to
[email protected] within 30 days of the day
after publication of this notice, by July 6, 2026.
Dated: June 2, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-11209 Filed 6-3-26; 8:45 am]
BILLING CODE 8011-01-P
Source
https://www.federalregister.gov/documents/2026/06/04/2026-11209/agency-information-collection-activities-submission-for-omb-review-comment-request-extension-ruleCanonical document at the regulator. Always cite this URL — not the Vantage detail page — in compliance evidence.