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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
Broker-Dealer SBSDs Only: Amendments to paragraph (b)(1)
Modified
16
165
1920
Broker-Dealer SBSDs and Broker-Dealer MSBSPs: Amendments to paragraph (b)(1) and new paragraphs (b)(15) and (b)(16)
Modified
17
878
10200
PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual)
New
80
0
960000
PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)
New
80
0
2666640
PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Annual)
New
20
0
600000
PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Initial Annualized)
New
20
0
1666660
PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Annual)
New
80
0
240000
PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Initial Annualized)
New
80
0
666640
PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual)
New
20
0
2400000
PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)
New
20
0
6666660
PROPOSED: Senior Officer Undertaking
New
3373
3373
0
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
Security-Based Swap Ativities: Amendments to paragraphs (b)(1), (b)(8)(v)-(viii) and new paragraphs (b)(8)(xvi) and (b)(14)
Modified
42
2170
25200
Telephonic Communications: Amendment to paragraph (b)(4)
Modified
17
176
34000
Total burden requested under this ICR:
1084647707
9985158
34757920
To view an IC, click on IC Title