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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
NEW: Broker-Dealer SBSDs Only: Amendments to paragraph (b)(1)
New
16
165
1920
NEW: Broker-Dealer SBSDs and Broker-Dealer MSBSPs: Amendments to paragraph (b)(1) and new paragraphs (b)(15) and (b)(16)
New
17
878
10200
NEW: Security-Based Swap Ativities: Amendments to paragraphs (b)(1), (b)(8)(v)-(viii) and new paragraphs (b)(8)(xvi) and (b)(14)
New
42
2170
25200
NEW: Telephonic Communications: Amendment to paragraph (b)(4)
New
17
176
34000
Rule 17a-4(b)(11) Record preservation requirements
Unchanged
200
600
0
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS
Unchanged
2766
277
0
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI
Unchanged
676638282
4533476
0
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest
Unchanged
407998830
4487987
0
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
Unchanged
3764
956056
18820000
Total burden requested under this ICR:
1084643934
9981785
18891320
To view an IC, click on IC Title