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Agenda
Reg Review
ICR
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
To view an IC, click on IC Title