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) Unchanged 80 0 960000
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized) Unchanged 80 0 2666640
17a-4(f) - Backup Systems or Redundant Equivalency Unchanged 80 0 666640
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual) Unchanged 20 0 600000
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized) Unchanged 20 0 1666660
17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual) Unchanged 80 0 240000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual) Unchanged 20 0 2400000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized) Unchanged 20 0 6666660
Alternative undertaking - Broker-dealers Unchanged 500 167 82835
Alternative undertaking - Cloud Service Providers Unchanged 500 167 82835
Broker-Dealer SBSDs Only Unchanged 16 165 1920
Broker-Dealer SBSDs and Broker-Dealer MSBSPs Unchanged 17 878 10200
Retention of copy of any Form SCIR or immediate notice to the Commission New 1541 1541 0
Retention of copy of any public disclosures New 1541 1541 0
Retention of cybersecurity policies and procedures New 3510 3510 0
Retention of records documenting a Covered Entity's cybersecurity risk assessment New 1541 1541 0
Retention of records documenting a cybersecurity incident New 1541 1541 0
Retention of written report documenting annual review New 3510 3510 0
Rule 17a-4(b)(1), (e)(11), (e)(12) - Risk Mitigation Unchanged 17 1615 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 2578 258 0
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Unchanged 630648406 4225344 0
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Unchanged 380267890 4182947 0
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Unchanged 3508 891032 17540000
Security-Based Swap Activities Unchanged 42 2170 25200
Telephonic Communications Unchanged 17 176 34000
Third Party or Designated Executive Officer Undertaking Unchanged 1111 1111 552167
Total burden requested under this ICR: 1010938386 9319814 34195757  
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