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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
17a-3(a)(35) Record of Oral Disclosure
Modified
53038050
1060761
0
NEW: Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30)
New
17
1615
0
NEW: Broker-dealer SBSDs only: Paragraph (a)(29)
New
16
507
0
NEW: Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27)
New
42
2744
0
Ongoing cost for equipment & systems development
Unchanged
45
0
37446686
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer
Modified
2766
1383
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers
Modified
2010
1341
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers
Modified
756
0
375732
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden
Modified
101999016
1359983
0
Rule 17a-3(a)(12, 19)
Unchanged
3764
1882
0
Rule 17a-3(a)(16)
Unchanged
200
5400
0
Rule 17a-3(a)(17) - providing updated information to customers
Unchanged
46633482
0
16321719
Rule 17a-3(a)(17)(i)(B(1) - Small BD
Unchanged
345433
40301
0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD
Unchanged
120902
20142
0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD
Unchanged
34197885
854947
0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD
Unchanged
11969260
997518
0
Rule 17a-3(a)(20-22)
Unchanged
3764
627
0
Rule 17a-3(a)(23) Part I
Unchanged
456
15200
304000
Rule 17a-3(a)(23) Part II
Unchanged
456
20520
0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Unchanged
3764
937236
0
Total burden requested under this ICR:
248322084
5322107
54448137
To view an IC, click on IC Title