Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
NEW: Broker-Dealer SBSDs Only: Amendments to paragraph (b)(1) New 16 165 1920
NEW: Broker-Dealer SBSDs and Broker-Dealer MSBSPs: Amendments to paragraph (b)(1) and new paragraphs (b)(15) and (b)(16) New 17 878 10200
NEW: Security-Based Swap Ativities: Amendments to paragraphs (b)(1), (b)(8)(v)-(viii) and new paragraphs (b)(8)(xvi) and (b)(14) New 42 2170 25200
NEW: Telephonic Communications: Amendment to paragraph (b)(4) New 17 176 34000
Rule 17a-4(b)(11) Record preservation requirements Unchanged 200 600 0
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS Unchanged 2766 277 0
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Unchanged 676638282 4533476 0
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Unchanged 407998830 4487987 0
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Unchanged 3764 956056 18820000
Total burden requested under this ICR: 1084643934 9981785 18891320  
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