Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Annual audited reports Removed 0 0 0 Form SEC1410 Focus Report Part III
Form SBS for ANC Broker-Dealers New 10 2363 0 Form and Instruction Focus Report - Form SBS Focus Report - Form SBS
Form SBS for Broker-Dealer MSBSPs: Amendment to Paragraph (a)(1)(iv) New 1 223 0 Form and Instruction Focus Report - Form SBS Focus Report - Form SBS
Form SBS for Broker-Dealer SBSDs: Amendment to Paragraph (a)(1)(iv) New 6 1540 0 Form and Instruction Focus Report - Form SBS Focus Report - Form SBS
Liquidity Stress Test for ANC Broker-Dealers New 10 120 0
Rule 17a-5(d)(1)(ii): Change of Fiscal Year End Modified 75 13 0
Rule 17a-5(d)(3): Compliance Report Modified 203 12180 30450000
Rule 17a-5(d)(4): Exemption Report Modified 4342 30394 13026000
Rule 17a-5(d)(6): Annual Audit Reports with SIPC Modified 4320 2160 0
Rule 17a-5(e)(4): Annual General Assessment Reconciliation or Exclusion from Membership Form New 4393 21965 0
Rule 17a-5(f)(2): Statement Regarding Independent Public Accountant - Carrying or Clearing BD Modified 487 1623 0
Rule 17a-5(f)(2): Statement Regarding Independent Public Accountant - Non-Carrying or Non-Clearing BD Modified 4058 2706 0
Rule 17a-5(f)(3): Statement Regarding Change in Independent Public Accountant New 50 33 0
Rule 17a-5(k): Supplemental Reports - Appendix E - Additional Annual Reports Modified 10 400 0
Rule 17a-5(k): Supplemental Reports - Appendix E - Additional Monthly Reports Modified 120 480 0
Rule 17a-5(k): Supplemental Reports - Appendix E - Additional Quarterly Reports Modified 40 320 0
Rule 17a-5: Annual Audited Reports Modified 4345 52140 0 Form and Instruction Focus Report - Part III Form X-17A-5 - Focus Report Part III
Form and Instruction Focus Report - Schedule I Form X-17A-5 - Focus Report Schedule I
Rule 17a-5: FOCUS Reports - Monthly Reports Modified 5844 70128 0 Form and Instruction Focus Report Part I Form X-17A-5 - Focus Report Part I
Form Focus Report Part II Form X-17A-5 - Focus Report Part II
Instruction
Rule 17a-5: FOCUS Reports - Quarterly Reports Modified 16232 194784 0 Form Focus Report - Part IIA Form X-17A-5 - Focus Report Part I
Instruction
Total burden requested under this ICR: 44546 393572 43476000  
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