Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC 3 - Appendix E additional monthly reports Unchanged 120 480 60
IC1 - Monthly Reports Unchanged 5520 66240 0 Form SEC 1695 Focus Report Part II
Instruction
IC10 - Change in Fiscal Year End Unchanged 75 13 38
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Unchanged 3689 18445 1845
IC12 - Statement Regarding Independent Public Accountant Unchanged 460 4600 230
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Unchanged 3215 6430 1608
IC14 - Statement Regarding Change of Independent Public Accountant Unchanged 50 34 0
IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Unchanged 12860 154320 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC4 - Appendix E additional quarterly reports Unchanged 40 320 20
IC5 - Appendix E additional annual reports Unchanged 10 400 5
IC6 - Annual audited reports Unchanged 3679 44148 28512 Form SEC 1410 Focus Report Part III
IC7 - Compliance Report Requirement Unchanged 175 10500 26250000
IC8 - Exemption Report Requirement Unchanged 3001 21007 9003000
IC9 - SIPC Audited Reports Unchanged 3621 1811 1811
NEW: IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs New 6 1540 0
NEW: IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs New 1 216 0
NEW: IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs New 10 2363 0
NEW: IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities New 25 3167 0
Total burden requested under this ICR: 36557 336034 35287129  
To view an IC, click on IC Title