Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
All BDs (Delivery of the Account Discl. Document)-- Initial One-Time New 101999016 679994 0
All BDs (Delivery of the Account Discl. Document)-- Ongoing New 20399250 407985 0
All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden New 101999016 679994 0
All BDs (Delivery of the Conflict Disclosure)-- Ongoing New 40798500 815970 0
All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden New 101999016 679994 0
All BDs (Delivery of the Fee Schedule)-- Ongoing New 2766 815970 0
Compliance Obligation Written Policies and Procedures (Large BDs) New 2010 50919 1997940
Compliance Obligation Written Policies and Procedures (Small BDs) New 756 5292 5415477
Dually-registered BDs (Disclosure of Capacity) New 563 5816 932705
Identification of Conflicts of Interests (All Broker-Dealers) New 2766 50709 5236951
Large BDs (Disclosure of Conflicts of Interest) New 2010 9045 2497767
Large BDs (Disclosure of Fees and Costs) New 2010 14739 3329907
Large BDs (Disclosure of Type & Scope of Services) New 2010 53601 5004900
Small BDs (Disclosure of Conflicts of Interest) New 756 2016 626217
Small BDs (Disclosure of Fees and Costs) New 756 2772 626217
Small BDs (Disclosure of Type & Scope of Services) New 756 5544 1252443
Training-- Implement Training (All BDs) New 2766 571640 0
Training-- Module Development (All BDs) New 2766 3687 19288231
Written Policies and Procedures (Large Broker-Dealers) New 2010 64320 3329907
Written Policies and Procedures (Small Broker-Dealers) New 756 6300 7920363
Total burden requested under this ICR: 367220255 4926307 57459025  
To view an IC, click on IC Title