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  
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