Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC 3 - Appendix E additional monthly reports Modified 120 480 60
IC1 - Monthly Reports Modified 5520 66240 0 Form SEC 1695 Focus Report Part II
Instruction
IC10 - Change in Fiscal Year End Modified 75 13 38
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Modified 3689 18445 1845
IC12 - Statement Regarding Independent Public Accountant Modified 460 4600 230
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Modified 3215 6430 1608
IC14 - Statement Regarding Change of Independent Public Accountant Modified 50 34 0
IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Modified 12860 154320 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC4 - Appendix E additional quarterly reports Modified 40 320 20
IC5 - Appendix E additional annual reports Modified 10 400 5
IC6 - Annual audited reports Modified 3679 44148 28512 Form SEC 1410 Focus Report Part III
IC7 - Compliance Report Requirement Modified 175 10500 26250000
IC8 - Exemption Report Requirement Modified 3001 21007 9003000
IC9 - SIPC Audited Reports Modified 3621 1811 1811
Total burden requested under this ICR: 36515 328748 35287129  
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