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 Modified 24 192 4000
Assessment of Industry Member Bulk Access to Reported Data Modified 24 120 16000
Assessment of Material Systems Change on Error Rate Modified 96 500 0
Background Checks Modified 24 244 35654
Central Repository Modified 24 14400 55800000
Coordinated Surveillance Report Modified 1 0 0
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers Modified 31 563208 28435967
Data Collection and Reporting - Large OATS-Reporting Broker-Dealers Modified 126 3402756 114975000
Data Collection and Reporting - Participants Modified 24 39096 9347368
Data Collection and Reporting - Small OATS-Reporting Broker-Dealers Modified 806 1571700 133928506
Document on Expansion to Other Securities Modified 1 0 0
Financial Statements Modified 24 0 65000
Independent Audit of Expenses Incurred Prior to the Effective Date Modified 24 0 1667
Report on Impact of Tiered Fees on Market Liquidity Modified 24 150 1600
Review of Clock Synchronization Standards Modified 1 0 0
Small Non-OATS-Reporting Broker-Dealers Modified 523 1333650 86903981
Surveillance Modified 24 388642 28926316
Written Assessment of Operation of the Consolidated Audit Trail Modified 24 3600 24000
Total burden requested under this ICR: 1839 7572610 463322593  
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