Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Ongoing cost for equipment & systems development Unchanged 47 0 30677094
Rule 17a-3(24), Record of Relationship Summary in the Context of Rule 17a-14 and Form CRS New 2857 286 0
Rule 17a-3(25) All BDs, Completing the Account Disclosure Document in the Context of Regulation Best Interest New 95200954 1237612 0
Rule 17a-3(25) Large BD, Record of Associated Person in the Context of Regulation Best Interest New 2055 1371 0
Rule 17a-3(25) Small BD, Record of Associated Person in the Context of Regulation Best Interest New 802 0 126181
Rule 17a-3(a)(12, 19) Unchanged 4104 2052 0
Rule 17a-3(a)(16) Unchanged 150 4050 0
Rule 17a-3(a)(17) - providing updated information to customers Unchanged 41143232 0 13577267
Rule 17a-3(a)(17)(i)(B(1) - Small BD Unchanged 396195 46220 0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Unchanged 138668 23102 0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD Unchanged 30080282 752007 0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Unchanged 10528094 877411 0
Rule 17a-3(a)(20-22) Unchanged 4104 684 0
Rule 17a-3(a)(23) Part I Unchanged 462 15400 308000
Rule 17a-3(a)(23) Part II Unchanged 462 20790 0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Unchanged 4104 1021896 0
Total burden requested under this ICR: 177506572 4002881 44688542  
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