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  
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