Information Collection List

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