Application for Registration of Securities Information Processors - Rule 11Ab2-1 and Form SIP

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0043 can be found here:

Documents and Forms

Document Name Document Type
Form SEC 1939 (9-02) Application for Registration of Securities Information Processors - Rule 11Ab2-1 and Form SIP Form and Instruction
SEC 1939 (9-02) Form SIP, Application or Amendment to Application for Re formsip.pdf Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Application for Registration of Securities Information Processors - Rule 11Ab2-1 and Form SIP	Agency IC Tracking Number:	270-23

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 1939 (9-02)	Form SIP, Application or Amendment to Application for Registration as Securities Information Processor Under The Securities Exchange Act of 1934	formsip.pdf		No		Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	1	1
Annual IC Time Burden (Hours)	400	400
Annual IC Cost Burden (Dollars)	1,000	1,000

Documents for IC

Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.