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 Modified 4752 26231 0
Recordkeeping obligations for the exceptions under paragraph (f)(5) – ADTV Test Modified 88 99053 0
Recordkeeping obligations for the exceptions under paragraph (f)(5) – Asset Test Modified 88 393 0
Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii) Modified 86 28 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) Modified 86 93003 0
Recordkeeping obligations regarding determining shell status under the provision in paragraph (f)(3)(i)(B) Modified 88 64339 0
Recordkeeping obligations regarding frequency of a priced bid or offer quotation under paragraph (f)(3)(i)(A) Modified 88 95166 0
Recordkeeping obligations regarding trading suspensions under the provision in paragraph (f)(3)(i)(B) Modified 88 3 0
Recordkeeping obligations related to the creation of reasonable written policies and procedures under paragraph (a)(3) Modified 2 20 0
Recordkeeping obligations under unsolicited quotation exception under paragraph (f)(2) Modified 86 537954 0
Recordkeeping when relying on an exception under paragraph (f), that paragraph (b) information is current and publicly available Modified 88 64339 0
Total burden requested under this ICR: 5540 980529 0  
To view an IC, click on IC Title