Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Disclosure of Capacity, Type and Scope of Services (All Broker-Dealers, Delivery of Amended Account Agreements) New 19039991 380800 0
Disclosure of Capacity, Type, and Scope of Services (All Broker-Dealers, Delivery of the Account Disclosure Document) New 95200011 634984 0
Disclosure of Capacity, Type, and Scope of Services (Dually-Registered BD/IAs) New 360 3720 566399
Disclosure of Capacity, Type, and Scope of Services (Large, Standalone Broker-Dealers) New 2055 54801 4849800
Disclosure of Capacity, Type, and Scope of Services (Small, Standalone Broker-Dealers) New 802 5881 1261811
Disclosure of Fees (All Broker-Dealers, Delivery of Amended Fee Schedule) New 38080010 761600 0
Disclosure of Fees (All Broker-Dealers, Initial Delivery of the Fee Schedule) New 95200011 634984 0
Disclosure of Fees (Large, Standalone Broker-Dealers) New 2055 15069 3233193
Disclosure of Fees (Small, Standalone Broker-Dealers) New 802 2941 630909
Disclosure of Material Conflicts of Interest (All Broker-Dealers, Delivery of Standard Conflict Disclosure Document) New 95200011 637840 0
Disclosure of Material Conflicts of Interest (All Broker-Dealers, Delivery of the Updated Conflict Disclosure Document) New 37960959 759219 0
Disclosure of Material Conflicts of Interest (Large, Standalone Broker-Dealers) New 2055 9248 2424900
Disclosure of Material Conflicts of Interest (Small, Standalone Broker-Dealers) New 802 2139 630909
Identification of Material Conflicts of Interests (All Broker-Dealers) New 2857 38084 5142600
Training-- Develop Module (All Broker-Dealers) New 2857 3808 20570400
Training-- Implement Training (All Broker-Dealers) New 435121 580016 0
Written Policies and Procedures (Large Broker-Dealers) New 2055 65760 3233193
Written Policies and Procedures (Small Broker-Dealers) New 802 6681 8134951
Total burden requested under this ICR: 381133616 4597575 50679065  
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