Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Additional Annual Reports -- Appendix E New 11 440 0
Additional Quarterly Reports -- Appendix E New 44 352 0
Additional monthly reports -- Appendix E New 132 528 0
Annual Audit Report (Broker-Dealers) New 5063 60756 234416900
Annual Compliance Report - Carrying Broker-Dealers New 305 18300 45750000
Annual Exemption report -- Non-Carrying Broker-Dealers New 4752 23760 14256000
Audit Report Filed with SIPC - Broker-Dealers New 5057 2529 0
FOCUS Reports - Monthly New 6336 76032 0
FOCUS Reports - annual New 220 2640 0
FOCUS Reports - quarterly New 17600 211200 0
New Notice deisgnating accountant (Broker-Dealers) New 3371 3371 0
Rule 17a-5; Reports to be made by certain brokers and dealers Removed 0 0 0 Form and Instruction X-17A5 Form X-17A5 (Focus Report)
SIPC-proposed and final rule to require forms filed with SIPC New 1 33 0
Total burden requested under this ICR: 42892 399941 294422900  
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