Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Rule 15c3-1 -- Net Capital Requirements for Brokers or Dealers (2013 amendments - permission to withdraw capital) New 90 90 0
Rule 15c3-1 -- Net Capital Requirements for Brokers or Dealers (2013 amendments - updating standard stock loan agreement) New 6 40 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers Modified 902 451 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix C) - Opinion of Counsel Modified 20 0 160000
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - backtesting - new firms) Modified 12 960 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) Modified 3 8400 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) Modified 3 375 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update risk management control system) Modified 6 1500 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E - one-time burden for new firms) Modified 3 1000 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - annual burden of making & preserving records - new firms) Modified 3 435 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - annual burden of making & preserving records) Modified 6 1740 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions -new firms) Modified 3 2 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions) Modified 6 6 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - one time burden of making & preserving records) Modified 3 40 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file annual reports - new firms) Modified 3 300 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file annual reports) Modified 6 1200 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file monthly reports - new firms) Modified 36 144 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file monthly reports) Modified 72 576 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file quarterly reports - new firms) Modified 12 96 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - prepare & file quarterly reports) Modified 24 384 0
Total burden requested under this ICR: 1249 55179 160000  
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