Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Rule 606 (a)(1) - Issue Quarterly Disclosure Modified 1168 46720 0
Rule 606 - Industry Update to Compliance Manuals New 4405 2934 0
Rule 606(a)(1) - Assess Payment for Order Flow and Profit-Sharing Relationships New 292 8273 0
Rule 606(a)(1) - Initial Burden to Update Systems In House New 97 7760 0
Rule 606(a)(1) - Update Systems Using Third Party New 195 1300 2080000
Rule 606(b)(1) - Respond to Customer Disclosure Requests Modified 434000 86800 0
Rule 606(b)(1) - Update Disclosure Order Categories In House New 97 776 0
Rule 606(b)(1) - Update Disclosure Order Categories Using Third Party New 195 195 325000
Rule 606(b)(3) - Respond to Customer Disclosure Requests In House New 27000 54000 0
Rule 606(b)(3) - Respond to Customer Disclosure Requests Using Third Party New 13000 13000 1300000
Rule 606(b)(3) - Update Systems In House New 67 5807 335000
Rule 606(b)(3) - Update Systems Using Third Party New 133 2217 1551667
Total burden requested under this ICR: 480649 229782 5591667  
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