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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
Unchanged
2766
1383
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers
Unchanged
2010
1341
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden
Unchanged
101999016
1359983
0
NEW: 17a-3(a)(35) Record of Oral Disclosure
Unchanged
53038050
1060761
0
NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers
Unchanged
756
0
375732
Ongoing cost for equipment & systems development
Modified
45
0
37446686
Rule 17a-3(a)(12, 19)
Modified
3764
1882
0
Rule 17a-3(a)(16)
Modified
200
5400
0
Rule 17a-3(a)(17) - providing updated information to customers
Modified
46633482
0
16321719
Rule 17a-3(a)(17)(i)(B(1) - Small BD
Modified
345433
40301
0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD
Modified
120902
20142
0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD
Modified
34197885
854947
0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD
Modified
11969260
997518
0
Rule 17a-3(a)(20-22)
Modified
3764
627
0
Rule 17a-3(a)(23) Part I
Modified
456
15200
304000
Rule 17a-3(a)(23) Part II
Modified
456
20520
0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Modified
3764
937236
0
Total burden requested under this ICR:
248322009
5317241
54448137
To view an IC, click on IC Title