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  
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