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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
Modified
16
165
1920
Broker-Dealer SBSDs and Broker-Dealer MSBSPs
Modified
17
878
10200
Rule 17a-4(b)(11) Record preservation requirements
Modified
200
600
0
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS
Modified
2578
258
0
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI
Modified
630648406
4225344
0
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest
Modified
380267890
4182947
0
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
Modified
3508
891032
17540000
Security-Based Swap Activities
Modified
42
2170
25200
Telephonic Communications
Modified
17
176
34000
Total burden requested under this ICR:
1010922674
9303570
17611320
To view an IC, click on IC Title