Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC1 - Dually-registered BDs (Disclosure of Capacity) Modified 546 3822 0
IC10 - Small BDs (Disclosure of Conflicts of Interest) Modified 733 733 0
IC11 - Large BDs (Disclosure of Conflicts of Interest) Modified 1950 3900 0
IC12 - All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden Modified 532576 10652 0
IC13 - All BDs (Delivery of the Updated Conflict Disclosure)-- Ongoing Modified 39600007 792000 0
IC14 - Written Policies and Procedures (Small Broker-Dealers) Modified 733 3665 3012630
IC15 - Written Policies and Procedures (Large Broker-Dealers) Modified 1950 23400 0
IC16 - Identification of Conflicts of Interests (All Broker-Dealers) Modified 2683 26830 0
IC17 -- Compliance Obligation Written Policies and Procedures (Small BDs) Modified 733 3665 3012630
IC18 - Compliance Obligation Written Policies and Procedures (Large BDs) Modified 1950 23400 6060600
IC19 - Training-- Implement Training (All BDs) Modified 2683 415865 0
IC2 - Small BDs (Disclosure of Type & Scope of Services) Modified 733 2932 0
IC3 - Large BDs (Disclosure of Type & Scope of Services) Modified 1950 39000 0
IC4 - All BDs (Delivery of the Account Discl. Document)-- Initial One-Time Modified 532576 10652 0
IC5 - All BDs (Delivery of the Account Discl. Document)-- Ongoing Modified 19800003 396000 0
IC6 - Small BDs (Disclosure of Fees and Costs) Modified 733 1466 0
IC7 - Large BDs (Disclosure of Fees and Costs) Modified 1950 7800 0
IC8 - All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden Modified 532576 10652 0
IC9 - All BDs (Delivery of the Fee Schedule)-- Ongoing Modified 2683 792000 0
Training-- Module Development (All BDs) Removed 0 0 0
Total burden requested under this ICR: 61019748 2568434 12085860  
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