Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
17a-5(d)(1)(ii) Removed 0 0 0
17a-5(f)(2) Removed 0 0 0
17a-5(f)(2) 2 Removed 0 0 0
Annual Reports Removed 0 0 0 Form SEC1410 Focus Report Part III
Annual audited reports Modified 3932 47184 25361 Form SEC 1410 Focus Report Part III
Appendix E additional annual reports Modified 10 400 5
Appendix E additional monthly reports Modified 120 480 56
Appendix E additional quarterly reports Modified 40 320 19
Change in Fiscal Year End New 75 13 35
Compliance Report Requirement Modified 224 13440 33600000
Exemption Report Requirement Modified 3834 26838 11502000
Monthly Reports Modified 5784 69408 0 Form SEC 1695 Focus Report Part II
Instruction
Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Modified 14304 171648 0 Form SEC 1696 Focus Report Part IIA
Instruction
SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form New 4058 20290 1907
SIPC Audited Reports Modified 3950 1975 1857
Statement Regarding Change of Independent Public Accountant New 50 34 0
Statement Regarding Independent Public Accountant New 60 600 28
Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) New 440 880 207
Total burden requested under this ICR: 36881 353510 45131475  
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