Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-ELPs Unchanged 14 254352 4857534
Assessment of Errors in Customer Information Fields New 21 168 3500
Assessment of Industry Member Bulk Access to Reported Data New 21 105 14000
Assessment of Material Systems Change on Error Rate New 84 500 0
Background Checks New 21 214 31348
Central Repository Unchanged 21 19215 78266667
Coordinated Surveillance Report New 21 600 7000
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers Unchanged 31 563208 28436897
Data Collection and Reporting - Large OATS-Reporting Broker-Dealers Unchanged 126 3402756 119175001
Data Collection and Reporting - Participants Unchanged 21 45524 9933333
Data Collection and Reporting - Small OATS-Reporting Broker-Dealers Unchanged 806 1571700 133927523
Document on Expansion to Other Securities Unchanged 21 1200 70000
Financial Statements New 21 0 65000
Independent Audit of Expenses Incurred Prior to the Effective Date New 21 0 1667
Report on Impact of Tiered Fees on Market Liquidity New 21 150 1400
Review of Clock Synchronization Standards New 21 133 1400
Small Non-OATS-Reporting Broker-Dealers Unchanged 823 2098650 136752297
Surveillance Unchanged 21 307671 22900000
Written Assessment of Operation of the Consolidated Audit Trail Unchanged 21 3600 21000
Total burden requested under this ICR: 2157 8269746 534465567  
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