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Search:
Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
NEW: Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer
New
2766
1383
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers
New
2010
1341
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden
New
101999016
1359983
0
NEW: 17a-3(a)(35) Record of Oral Disclosure
New
53038050
1060761
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers
New
756
0
375732
Ongoing cost for equipment & systems development
Unchanged
47
0
30677094
Rule 17a-3(a)(12, 19)
Unchanged
4104
2052
0
Rule 17a-3(a)(16)
Unchanged
150
4050
0
Rule 17a-3(a)(17) - providing updated information to customers
Unchanged
41143232
0
13577267
Rule 17a-3(a)(17)(i)(B(1) - Small BD
Unchanged
396195
46220
0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD
Unchanged
138668
23102
0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD
Unchanged
30080282
752007
0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD
Unchanged
10528094
877411
0
Rule 17a-3(a)(20-22)
Unchanged
4104
684
0
Rule 17a-3(a)(23) Part I
Unchanged
462
15400
308000
Rule 17a-3(a)(23) Part II
Unchanged
462
20790
0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Unchanged
4104
1021896
0
Total burden requested under this ICR:
237342502
5187080
44938093
To view an IC, click on IC Title