Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
2023 proposal to require filing annual audit in Inline XBRL – Initial burden New 3218 6436 1287200
2023 proposal to require filing annual audit in Inline XBRL – Ongoing burden New 3218 12872 2574400
2023 proposal to require filing annual audit on EDGAR New 1559 8315 0
2023 proposed amendments to FOCUS Report signature requirement New 3218 1073 0
2023 proposed corrective and clarifying amendments to FOCUS Report Part II New 460 767 0 Form and Instruction SEC 1696 FOCUS Report Part II
Form and Instruction SEC 1696 FOCUS Report Part IIC
IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs Modified 6 1540 0
IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs Modified 1 216 0
IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs Modified 10 2363 0
IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities Modified 25 3167 0
IC 3 - Appendix E additional monthly reports Modified 120 480 0
IC1 - Monthly Reports Modified 5520 66240 0 Form SEC 1695 Focus Report Part II
Instruction
IC10 - Change in Fiscal Year End Unchanged 75 13 38
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Unchanged 3689 18445 1845
IC12 - Statement Regarding Independent Public Accountant Unchanged 460 4600 230
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Unchanged 3215 6430 1608
IC14 - Statement Regarding Change of Independent Public Accountant Unchanged 50 34 0
IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Unchanged 12860 154320 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC4 - Appendix E additional quarterly reports Modified 40 320 0
IC5 - Appendix E additional annual reports Modified 10 400 0
IC6 - Annual audited reports Modified 3679 44148 0 Form SEC 1410 Focus Report Part III
IC7 - Compliance Report Requirement Unchanged 175 10500 26250000
IC8 - Exemption Report Requirement Unchanged 3001 21007 9003000
IC9 - SIPC Audited Reports Unchanged 3621 1811 1811
Total burden requested under this ICR: 48230 365497 39120132  
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