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Agenda
Reg Review
ICR
Information Collection List
IC Title
Status
Responses
Hours
Dollars
Document Type
Form No.
Form Name
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual)
New
80
0
960000
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)
New
80
0
2666640
17a-4(f) - Backup Systems or Redundant Equivalency
New
80
0
666640
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual)
New
20
0
600000
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized)
New
20
0
1666660
17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual)
New
80
0
240000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual)
New
20
0
2400000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)
New
20
0
6666660
Alternative undertaking - Broker-dealers
New
500
167
82835
Alternative undertaking - Cloud Service Providers
New
500
167
82835
Broker-Dealer SBSDs Only
Unchanged
16
165
1920
Broker-Dealer SBSDs and Broker-Dealer MSBSPs
Unchanged
17
878
10200
Rule 17a-4(b)(1), (e)(11), (e)(12) - Risk Mitigation
New
17
1615
0
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
Unchanged
42
2170
25200
Telephonic Communications
Unchanged
17
176
34000
Third Party or Designated Executive Officer Undertaking
New
1111
1111
552167
Total burden requested under this ICR:
1010925202
9306630
34195757
To view an IC, click on IC Title