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  
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