Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Recordkeeping Associated with the initial publication or submission of a Quotation in a Quotation Medium New 4428 24420 0
Recordkeeping obligations for the exceptions under paragraph (f)(5) – ADTV Test New 82 62074 0
Recordkeeping obligations for the exceptions under paragraph (f)(5) – Asset Test New 82 246 0
Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii) New 80 98 0
Recordkeeping obligations of broker-dealers relying on publicly available determinations by qualified IDQSs or registered national securities associations pursuant to paragraph (d)(2)(ii) New 80 64715 0
Recordkeeping obligations regarding determining shell status under the provision in paragraph (f)(3)(i)(B) New 82 44362 0
Recordkeeping obligations regarding frequency of a priced bid or offer quotation under paragraph (f)(3)(i)(A) New 82 66333 0
Recordkeeping obligations regarding trading suspensions under the provision in paragraph (f)(3)(i)(B) New 82 373 0
Recordkeeping obligations related to the creation of reasonable written policies and procedures under paragraph (a)(3) New 2 32 0
Recordkeeping obligations under unsolicited quotation exception under paragraph (f)(2) New 80 96451 0
Recordkeeping when relying on an exception under paragraph (f), that paragraph (b) information is current and publicly available New 82 44307 0
Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information) Removed 0 0 0
Total burden requested under this ICR: 5162 403411 0  
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