Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Appendix E computations for ANC firms Modified 3 1000 0
Appendix G annual reports for existing ANC firms Modified 6 1200 0
Appendix G annual reports for new ANC firms Modified 3 400 0
Appendix G monthly reports for existing ANC firms Modified 72 576 0
Appendix G monthly reports for new ANC firms Modified 36 192 0
Appendix G notification provision for existing ANC firms Modified 6 6 0
Appendix G notification provision for new ANC firms Modified 3 2 0
Appendix G quarterly reports for existing ANC firms Modified 24 384 0
Appendix G quarterly reports for new ANC firms Modified 12 128 0
Appendix G recordkeeping for existing ANC firms Modified 6 1740 0
Appendix G recordkeeping for new ANC firms Modified 3 620 0
Appendix G updating risk management profile for existing ANC firms Modified 3 500 0
Appendix G updating risk management profile for existing ANC firms Modified 6 1500 0
Creating procedures to determine creditworthiness to avoid 15% haircut Modified 434 7957 0
NEW: 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification New 6 6 0
NEW: Proposing liquidity stress test New 108 6000 0
NEW: Rule 15c3-4: Risk management control system New 6 5500 0
Opinion of counsel to file consolidated financial reports under Appendix C Modified 20 0 160000
Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability Modified 90 90 0
Paragraph (c)(2)(iv)(B): Disclosures and Agreements Modified 6 40 0
Reference Removal 2 Removed 0 0 0
Reviewing and back testing models for existing ANC firms Modified 6 37440 0
Reviewing and back testing models for new ANC firms Modified 3 12480 0
Rule 15c3-1: Notices Modified 902 451 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - annual burden of making & preserving records - new firms) Removed 0 0 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions -new firms) Removed 0 0 0
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix G - notification provisions) Removed 0 0 0
Total burden requested under this ICR: 1764 78212 160000  
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