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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27)
Modified
20
1337
0
Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30)
Modified
7
665
0
Broker-dealer SBSDs only: Paragraph (a)(29)
Modified
6
190
0
17a-3(a)(35) Record of Oral Disclosure
Modified
92041128
1840823
0
Ongoing cost for equipment & systems development
Modified
49
0
72322796
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer
Modified
2593
1297
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers
Modified
1455
970
0
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers
Modified
1138
0
565586
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden
Modified
177000773
2360004
0
Rule 17a-3(a)(12, 19)
Modified
3528
1764
0
Rule 17a-3(a)(16)
Unchanged
200
5400
0
Rule 17a-3(a)(17) - providing updated information to customers
Modified
78271425
0
32091284
Rule 17a-3(a)(17)(i)(B(1) - Small BD
Modified
579775
67642
0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD
Modified
202926
33821
0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD
Modified
57399041
1434976
0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD
Modified
20089666
1674139
0
Rule 17a-3(a)(20-22)
Modified
3528
588
0
Rule 17a-3(a)(23) Part I
Modified
512
17067
341333
Rule 17a-3(a)(23) Part II
Modified
512
23040
0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Modified
3528
878472
0
Total burden requested under this ICR:
425601810
8342195
105320999
To view an IC, click on IC Title