Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers Modified 815 408 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix C) - Opinion of Counsel New 20 0 160000
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - backtesting - new firms) New 16 1280 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - backtesting) Modified 24 3840 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update models - new firms) New 4 11200 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update models) Modified 6 33600 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update risk management control system - new firms) New 4 500 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update risk management control system) New 6 1500 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E - one-time burden for new firms) Modified 4 1336 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - annual burden of making & preserving records - new firms) New 4 580 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - annual burden of making & preserving records) New 6 1740 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions -new firms) New 4 2 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions) New 6 6 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - one time burden of making & preserving records) New 4 53 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file annual reports - new firms) New 4 400 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file annual reports) New 6 1200 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file monthly reports - new firms) New 48 192 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file monthly reports) New 72 576 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file quarterly reports - new firms) New 16 128 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file quarterly reports) New 24 384 0
Total burden requested under this ICR: 1093 58925 160000  
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