Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
NEW: 15c3-1 Account Control Agreements – Outside Counsel Review (Costs) Modified 7 0 18667
NEW: 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification Modified 1 1 0
NEW: 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel Modified 4 27 10667
NEW: 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours) Modified 700 1400 0
NEW: Rule 15c3-4: Risk management control system Modified 1 917 25833
Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut Modified 309 2574 0
Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut Modified 309 3090 0
Rule 15c3-1; Appendix E computations for ANC firms Unchanged 5 1667 0
Rule 15c3-1; Appendix G annual reports for existing ANC firms Unchanged 5 1000 0
Rule 15c3-1; Appendix G annual reports for new ANC firms Unchanged 5 667 0
Rule 15c3-1; Appendix G monthly reports for existing ANC firms Unchanged 60 480 0
Rule 15c3-1; Appendix G monthly reports for new ANC firms Unchanged 60 320 0
Rule 15c3-1; Appendix G notification provision for existing ANC firms Unchanged 5 5 0
Rule 15c3-1; Appendix G notification provision for new ANC firms Unchanged 5 3 0
Rule 15c3-1; Appendix G quarterly reports for existing ANC firms Unchanged 20 320 0
Rule 15c3-1; Appendix G quarterly reports for new ANC firms Unchanged 20 213 0
Rule 15c3-1; Appendix G recordkeeping for existing ANC firms Unchanged 5 1450 0
Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial) Unchanged 5 67 0
Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing) Unchanged 5 967 0
Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms Unchanged 5 1250 0
Rule 15c3-1; Appendix G updating risk management profile for new ANC firms Unchanged 5 833 0
Rule 15c3-1; Notices Modified 1216 608 0
Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C Unchanged 10 0 80000
Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability Modified 238 238 0
Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements Unchanged 6 40 0
Rule 15c3-1; Reviewing and back testing models for existing ANC firms Unchanged 5 31200 0
Rule 15c3-1; Reviewing and back testing models for new ANC firms Unchanged 5 20800 0
Total burden requested under this ICR: 3021 70137 135167  
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