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Agenda
Reg Review
ICR
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
To view an IC, click on IC Title