§ 200.735-18 Requests for waivers.

Unless a different procedure is specifically prescribed in a rule of this part, an employee may submit a request for a waiver, modification or postponement of a requirement included in this part to the Chairman. Such waiver, modification or postponement may be granted if it is determined by the Chairman that such waiver, modification of postponement would not adversely affect the interest of the Commission or the United States. Any such waiver, modification or postponement granted by the Chairman shall be made available to the public. The Chairman may submit any request made pursuant to this rule to the Commission for its consideration. Any Commission action on such request shall be made public only in the discretion of the Commission. Requirements included in this part which implement any provision of Federal law, regulation or Executive Order generally applicable to the Executive Branch shall not be waived under this provision.

Subpart N-Commission Information

Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers and Expiration Dates

AUTHORITY: (44 U.S.C. 3507(f); secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 8, 68 Stat. 685; sec. 308(a)(2), 90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a), 48 Stat. 882, 892, 894, 895, 901; secs. 203(a), 1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202, 68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569, 570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs. 28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat. 117, 118, 119; sec. 308(b), 90 Stat 57; sec. 18, 89 Stat. 155; secs. 202, 203, 204, 91 Stat. 1494, 14981500; sec. 20(a), 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a), 80a-37)

§ 200.800 OMB control numbers assigned pursuant to the Paperwork Reduction Act.

(a) Purpose. This subpart collects and displays the control numbers and expiration dates assigned to information collection requirements of the Commission by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980, Pub. L. 96-511. The Commission intends that this subpart comply with the requirements of section 3507(f) of the Paperwork Reduction Act, which requires that agencies display a current control number assigned by the Director of the Office of Management and Budget ("OMB") for each agency information collection requirement. In particular, this subpart displays current OMB control numbers and expiration dates of those information collection requirements of the Commission which are rules and regulations and codified in 17 CFR either in full text or incorporated by reference with the approval of the Director of the Office of the Federal Register. Where the information collection requirement also exists as a separate document, as, for example, an information collection requirement which the Commission incorporates by reference in 17 CFR, the Commission, of course, will display on the separate document as well the current OMB control number and the expiration date as required by section 3507(f). Henceforth, the Commission will publish in the FEDERAL REGISTER only additions, deletions and corrections to particular control numbers and expiration dates contained in this subpart. (b) Display.

230.264.

20-055 0-88--5

Rule 17a-1.... § 240.17a-1.... 3235-0208 Oct. 31, 1989. Rule 17a-2..... § 240.17a-2.... 3235-0201 Dec. 31, 1989. Rule 17a-3..... § 240.17a-3.... 3235-0033 Sept. 30, 1989. Rule 17a-4..... § 240.17a-4.... 3235-0279 Sept. 30, 1989. Rule 17a-5..... § 240.17a-5.... 3235-0123 Oct. 31, 1989. Rule 17a5(c).. § 240.17a5(c). 3235-0199 Sept. 30, 1988. Rule 17a-7... § 240.17a-7.... 3235-0131 Oct. 31, 1989. Rule 17a-8..... § 240.17a-8.... 3235-0092 Jan. 31, 1991. Rule 17a-10... § 240.17a-10.. 3235-0122 Dec. 31, 1990. Rule 17a-11... § 240.17a-11.. 3235-0085 Oct. 31, 1990. Rule 17a-13... § 240.17a-13.. 3235-0035 Oct. 31, 1990. Rule 17a-19... § 240.17a-19.. 3235-0133 Dec. 31, 1990. Rule 17a-22... § 240.17a-22.. 3235-0196 Dec. 31, 1990. Rule 17Ab2- § 240.17Ab2-3235-0195 | Jan. 31, 1991.

1 (a) and

(e).

Rule 17Ac2

1 (a) and (c). Rule 17Ac31(a).

Rule 17Ad2

(c), (d) and (h).

1 (a) and (e).

$ 240.17Ac2-3235-0084

1 (a) and (c).

1.

June 30, 1988.

Form ET

3235-0328 Oct. 31, 1989.

Rule 17Ad4

§ 240.17Ad4

3235-0341

Jan. 31, 1989.

3235-0136 Aug. 31, 1989.

17A-1. Form X

$249.717. $249.801.

3235-0208 Oct. 31, 1989.

§ 249.802.. § 249.803..

$250.2.

$250.3.

$250.7

Rule 7(d)..

Information collection requirement

3235-0125 Sept. 30, 1988. 3235-0163 Sept. 30, 1988. 3235-0126 Sept. 30, 1988. 3235-0183 Sept. 30, 1988. 3235-0149 Sept. 30, 1988. 3235-0149 Sept. 30, 1988. 3235-0171 Sept. 30, 1988. 3235-0147 Sept. 30, 1988. 3235-0154 July 31, 1990. 3235-0163 Sept. 30, 1988.

3235-0126 Sept. 30, 1988. 3235-0152 Sept. 30, 1988. 3235-0173 Sept. 30, 1988. 3235-0149 Sept. 30, 1988. 3235-0181 Sept. 30, 1988. 3235-0182 Sept. 30, 1988. 3235-0182 Sept. 30, 1988. 3235-0153 Sept. 30, 1988. 3235-0153 Sept. 30, 1988. 3235-0162 Sept. 30, 1988. 3235-0125 Sept. 30, 1988.

3235-0153 Sept. 30, 1988. 3235-0153 Sept. 30, 1988. 3235-0306 Nov. 30, 1989. 3235-0170 Sept. 30, 1988. 3235-0170 Sept. 30, 1988. 3235-0164 Sept. 30, 1988. 3235-0173 Sept. 30, 1988. 3235-0173 Sept. 30, 1988. 3235-0162 Sept. 30, 1988.

3235-0152 Sept. 30, 1988. 3235-0153 Sept. 30, 1988.

3235-0161 Sept. 30, 1988. 3235-0160 Sept. 30, 1988.

3235-0165 Sept. 30, 1988. 3235-0125 Sept. 30, 1988. 3235-0329 Oct. 31, 1989. 3235-0328 Oct. 31, 1989. 3235-0327 Oct. 31, 1989. 3235-0132 Nov. 30, 1990.

3235-0110 Nov. 30, 1990. 3235-0111 Nov. 30, 1990. 3235-0105 Nov. 30, 1990. 3235-0107 Dec. 31, 1990. 3235-0329 Oct. 31, 1989. 3235-0328 Oct. 31, 1989. 3235-0327 Oct. 31, 1989. 3235-0268 Sept. 30, 1990. 3235-0332 Dec. 31, 1988. 3235-0245 Nov. 30, 1989. 3235-0276 Jan. 31, 1989. 3235-0344 Oct. 31, 1989. 3235-0177 Feb. 28, 1991.

Rule 7d.......

Rule 10f-3......$270.10f-3..... 3235-0226 Rule 11a-2..... $270.11a-2.... 3235-0272 Rule 12b-1. § 270.12b-1.... 3235-0212 Rule 17a- § 270.17a- 3235-0214

7.

Rule 8b-11... Rule 8b-16... Rule 8b-20... Rule 8b

Jan. 31, 1990.

21(b).

Nov. 30, 1990.

Jan. 31, 1989.

Nov. 30, 1989.

Feb. 28, 1991.

Rule 17a-8..... Rule 17e-1. Rule 171-1... Rule 171-2.. Rule 17f-4. Rule 17f

1(g). Rule 17j-1 $270.17j-1.... 3235-0224 Rule 18f-1..... $270.18f-1..... 3235-0211 Rule 19a-1..... § 270.19a-1.... 3235-0216 Rule 20a- § 270.20a- 3235-0158 1(b).

1(b). Rule 20a-2.... § 270.20a-2.... 3235-0158 Rule 20a-3. $270.20a-3.... 3235-0158 Rule 22d-1... § 270.22d-1.... 3235-0310 Rule 23c-1. § 270.23c-1.... 3235-0260 Rule 241-1.... $270.24f-1..... 3235-0155 Rule 24f-2... § 270.24f-2..... 3235-0159 Rule 24f-3...... § 270.24f-3..... 3235-0348 Rule 26a-3..... § 270.26a-3.... 3235-0333 Rule 30a-1.... $270.30a-1.... 3235-0219 Rule 30b2-1... § 270.30b2-1.. 3235-0220 Rule 30d-1..... § 270.30d-1.... 3235-0025 Rule 31a-1.... § 270.31a-1.... 3235-0178 Rule 31a-2..... § 270.31a-2.... 3235-0179 Rule 34b-1... § 270.34b-1.... 3235-0346 Form N-5 $274.5. Form N-8A..... § 274.10. Form N-1 § 274.11 Form N-1A..... § 274.11a. Form N-2 Form N-3 Form N-4 Form N-8B2. Form N-7 Form N-8B3. Form N-8B4. Form N-6F. Form N-18f... § 274.51. Form N-SAR.. § 274.101. Form N§ 274.200. 17d-1. Form N23C-1. Form N-8F... Form N

201.26 Review by the Commission of determinations at a delegated level.

201.27 Adjudications under the Securities Exchange Act of 1934 not required to be determined on the record after notice and opportunity for hearing.

201.28 Adjudications not required to be determined on the record after notice and opportunity for hearing.

201.29 Applications by barred individuals for consent to associate with registered brokers, dealers, municipal securities dealers, investment advisers or investment companies.

TABLE I-SHOWING DERIVATION OF REVISED RULES IN RELATION TO PRESENT RULES TABLE II-SHOWING LOCATION IN REVISED RULES OF PROVISIONS OF PRESENT RULES

Subpart B-Regulations Pertaining to the Equal Access to Justice Act