Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Collect Additional Employment Information (as necessary) Removed 0 0 0
Gain Comfort for Certification through External Process Removed 0 0 0 Form SBSE-C
Gain Comfort for Certification through Internal Process Removed 0 0 0 Form SBSE-C
Have CCO (or designee) Sign Employment Records (initial) Removed 0 0 0
Have CCO (or designee) Sign Employment Records (ongoing) Removed 0 0 0
Have CCO Sign Employee SD Certification on Schedule G Removed 0 0 0
Proposed Temporary Rule 15Fb2-2T - Form SBSE Removed 0 0 0
Proposed Temporary Rule 15Fb2-2T - Form SBSE-A Removed 0 0 0
Proposed Temporary Rule 15Fb2-2T - Form SBSE-BD Removed 0 0 0
Rule 15Fb1-1: Retain Manually Signed Signature Pages Modified 55 9 0
Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form Modified 35 397 0 Form and Instruction Form SBSE-A
Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form Modified 16 56 0 Form and Instruction Form SBSE-BD
Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications Modified 55 1393 0 Form and Instruction Form SBSE-C
Rule 15Fb2-1 and Form SBSE: Complete and File Application Form Modified 4 56 0 Form and Instruction Form SBSE
Rule 15Fb2-3: Complete and File Amendments to Application Forms Modified 165 165 0 Form and Instruction Form SBSE
Form and Instruction Form SBSE-A
Form and Instruction Form SBSE-BD
Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law New 1 2 25000 Form and Instruction Form SBSE
Form and Instruction Form SBSE-A
Form and Instruction Form SBSE-BD
Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process New 2 3 0 Form and Instruction Form SBSE
Form and Instruction Form SBSE-A
Form and Instruction Form SBSE-BD
Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities Modified 22 11 187271 Form and Instruction Form SBSE
Form and Instruction Form SBSE-A
Form and Instruction Form SBSE-BD
Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form Modified 1 1 0 Form and Instruction Form SBSE-W
Rule 15Fb6-2: Review and Sign Employment Questionnaire - Major SBS Participants already registered or registering with the SEC or the CFTC New 5 105 0
Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers not registered or registering with the SEC or the CFTC Modified 4 1128 0
Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers registered or registering with the SEC or the CFTC New 46 6486 0
Total burden requested under this ICR: 411 9812 212271  
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