Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27) Modified 21 1403 0
Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30) Modified 8 760 0
Broker-dealer SBSDs only: Paragraph (a)(29) Modified 7 222 0
17a-3(a)(35) Record of Oral Disclosure Modified 110760688 2215214 0
Ongoing cost for equipment & systems development Modified 207606683 0 95499074
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer Modified 2456 1228 0
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers Modified 1378 919 0
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers Modified 1078 0 535766
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden Modified 212999056 2839980 0
Rule 17a-3(a)(12, 19) Modified 3342 1671 0
Rule 17a-3(a)(16) Unchanged 200 5400 0
Rule 17a-3(a)(17) - providing updated information to customers Modified 94366674 0 42465003
Rule 17a-3(a)(17)(i)(B(1) - Small BD Modified 699008 81552 0
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Modified 244653 40775 0
Rule 17a-3(a)(17)(i)(B)(1) - Large BD Modified 69202240 1730056 0
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Modified 24220776 2018398 0
Rule 17a-3(a)(20-22) Modified 3342 557 0
Rule 17a-3(a)(23) Part I Modified 529 17634 352667
Rule 17a-3(a)(23) Part II Modified 529 23805 0
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Modified 838842 838842 0
Total burden requested under this ICR: 720951510 9818416 138852510  
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