Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
17a-5(d)(1)(ii) New 75 8 0
17a-5(f)(2) New 513 1710 0
17a-5(f)(2) 2 New 4196 2797 0
Annual Reports Unchanged 63 756 0 Form SEC1410 Focus Report Part III
Annual audited reports Unchanged 4650 55800 0 Form SEC1410 Focus Report Part III
Appendix E additional annual reports Unchanged 9 360 0
Appendix E additional monthly reports Unchanged 108 432 0
Appendix E additional quarterly reports Unchanged 36 288 0
Compliance Report Requirement New 292 17520 43800000
Exemption Report Requirement New 4417 30919 13251000
Monthly Reports Unchanged 6156 73872 0 Form SEC1695 Focus Report Part II
Instruction
Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Unchanged 16536 198432 0 Form SEC1696 Focus Report Part IIA
Instruction
SIPC Audited Reports New 4492 2246 0
Total burden requested under this ICR: 41543 385140 57051000  
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