Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.

View ICR - OIRA Conclusion

OMB Control No: 3235-0033	ICR Reference No: 201910-3235-003
Status: Historical Active	Previous ICR Reference No: 201907-3235-045
Agency/Subagency: SEC	Agency Tracking No: TM-240-026
Title: Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/13/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 10/29/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	09/30/2021
Responses	248,322,009	0	237,342,502
Time Burden (Hours)	5,317,241	0	5,187,080
Cost Burden (Dollars)	54,448,137	0	44,938,093

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	248,322,009	237,342,502	10,979,507
Annual Time Burden (Hours)	5,317,241	5,187,080	130,161
Annual Cost Burden (Dollars)	54,448,137	44,938,093	9,510,044

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The annual burden has changed due to a decrease in the number of respondents (i.e., the number of registered broker-dealers has decreased from 4,104 to 3,764) and an increase in the number of customer accounts held by broker-dealers (from 126,458,378 to 143,333,278). The result of these changes has been an increase in the hourly burden from 2,763,612 to 2,893,773 hours, or an increase of 130,161 hours per year. The annual costs increased due to inflation, increases in postage costs, and in increase in the number of customer accounts. The overall impact of these changes has been an increase in costs of $9,510,043, going from $44,562,361 to $54,072,405 per year. [Note: The changes in burden are calculated exclusive of the "NEW" burdens that were approved by OMB on October 3, 2019.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Abraham Jacob 202 551-5583