Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs Modified 1 240 0
IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs Modified 12 204 0
IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs Modified 2 456 0
IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities Modified 25 3000 0
IC 3 - Appendix E (ANC supplemental Monthly reports) Modified 60 240 0
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Modified 5532 66384 0 Form SEC 1695 Focus Report Part II
Instruction
IC10 - Change in Fiscal Year End Modified 75 13 40
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Modified 3404 17020 902
IC12 - Statement Regarding Independent Public Accountant (Carrying or Clearing BD) Modified 8 80 4
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Modified 160 320 38
IC14 - Statement Regarding Change of Independent Public Accountant Modified 435 291 42
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) New 11496 137952 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers) Modified 8356 100272 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC4 - Appendix E (ANC supplemental Quarterly reports) Modified 20 160 0
IC5 - Appendix E (ANC supplemental) Annual reports Modified 5 200 0
IC6 - Annual audited reports Modified 3218 38616 31022 Form SEC 1410 Focus Report Part III
IC7 - Compliance Report Requirement Modified 147 8820 22050000
IC8 - Exemption Report Requirement Modified 3071 21497 9213000
IC9 - SIPC Audited Annual Reports Modified 3404 1702 0
Total burden requested under this ICR: 39431 397467 31295048  
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