Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Amendments to Form SDR: 13n-1(d) Modified 3 108 0
Annual Financial Reports: 13n-11(f) and (g) Modified 3 1500 1500000
Certification and Opinion of Counsel for Non-Resident SDRs: 13n-1(f) Modified 3 1 900
Conflict of Interest Controls: 13n-4(c)(3) Modified 3 780 40000
Disclosure: 13n-10 Modified 3 101 9400
Establish Procedures for Remediation of Compliance Issues: 13n-11(c)(6) and (7) Modified 3 780 40000
Establish and Enforce Objective Criteria: 13n-4(c)(1)(iii) Modified 3 293 15000
IT Systems: 13n-4(b)(2) and (4) and 13n-5 Modified 3 117600 28000000
Make and Keep Records of Persons at Each Office: 13n-7(a)(1) Modified 3 2 0
Policies and Procedures: 13n-5(b)(1), (2), (3), and (5) and 13n-6 Modified 3 1950 100000
Policies and procedures to review any prohibition or limitation: 13n-4(c)(1)(iv) Modified 3 390 20000
Prepare and Submit Annual Compliance Report: 13n-11(d), (e), and (h) Modified 3 15 0
Privacy Requirements: 13n-9(b)(1) and 13n-4(b)(8) Modified 3 780 40000
Privacy Requirements: 13n-9(b)(2) Modified 3 390 20000
Procedures and Facilities to Resolve Disputes: 13n-5(b)(6) Modified 3 585 30000
Registration on Form SDR: 13n-1(b) and 13n-3(a) and Form SDR Modified 3 481 0 Form and Instruction SDR
Reports: 13n-8 Modified 3 3 0
Storage of Records: 13n-7(b) Modified 3 1182 1800
Tagging Financial Reports: 13n-11(d) and (f) Modified 3 162 68316
Withdrawal from Registration: 13n-2 Modified 3 12 0
Written Policies and Procedures for Board and Senior Management; 13n-4(c)(2)(iv) Modified 3 390 20000
Total burden requested under this ICR: 63 127505 29905416  
To view an IC, click on IC Title