Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-ELPs Modified 14 186732 1546533
Assessment of Errors in Customer Information Fields Modified 25 200 5104
Assessment of Industry Member Bulk Access to Reported Data Modified 25 125 20417
Assessment of Material Systems Change on Error Rate Modified 100 521 0
Background Checks Modified 25 106 15500
Central Repository Modified 25 14400 55800000
Coordinated Surveillance Report Unchanged 1 0 0
Data Collection and Reporting - Large Non-OATS-Reporting Broker-Dealers-Options Market Makers Modified 31 413478 15304467
Data Collection and Reporting - Large OATS-Reporting Broker-Dealers Modified 126 2274804 66675000
Data Collection and Reporting - Participants Modified 25 40725 11914490
Data Collection and Reporting - Small OATS-Reporting Broker-Dealers Modified 806 1088100 100265699
Document on Expansion to Other Securities Unchanged 1 0 0
Financial Statements Modified 25 0 65000
Independent Audit of Expenses Incurred Prior to the Effective Date Modified 1 0 0
Report on Impact of Tiered Fees on Market Liquidity Modified 25 156 2042
Review of Clock Synchronization Standards Unchanged 1 0 0
Small Non-OATS-Reporting Broker-Dealers Modified 397 535950 49386455
Surveillance Modified 25 372285 27631579
Written Assessment of Operation of the Consolidated Audit Trail Modified 25 3750 30625
Total burden requested under this ICR: 1703 4931332 328662911  
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