Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual) Unchanged 80 0 960000
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized) Unchanged 80 0 2666640
17a-4(f) - Backup Systems or Redundant Equivalency Unchanged 80 0 666640
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual) Unchanged 20 0 600000
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized) Unchanged 20 0 1666660
17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual) Unchanged 80 0 240000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual) Unchanged 20 0 2400000
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized) Unchanged 20 0 6666660
Alternative undertaking - Broker-dealers Modified 5 2 828
Alternative undertaking - Cloud Service Providers Modified 100 33 16567
Broker-Dealer SBSDs Only-- Initial Burden Modified 3 13 0
Broker-Dealer SBSDs Only-- Ongoing Burden New 8 48 960
Broker-Dealer SBSDs and Broker-Dealer MSBSPs-- Initial burden Modified 3 65 0
Broker-Dealer SBSDs and Broker-Dealer MSBSPs-- Ongoing burden New 8 240 4800
Rule 17a-4(b)(1), (e)(11), (e)(12) - Initial burden Modified 3 60 0
Rule 17a-4(b)(1), (e)(11), (e)(12) - Ongoing burden New 8 600 0
Rule 17a-4(b)(11) Record preservation requirements Unchanged 200 600 0
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS Modified 2424 242 0
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Removed 0 0 0
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Modified 357552120 3934152 0
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Modified 3298 837692 16490000
Security-Based Swap Activities-- Initial burden Modified 3 65 0
Security-Based Swap Activities-- Ongoing burden New 8 240 4800
Telephonic Communications-- Initial burden Modified 3 13 0
Telephonic Communications-- Ongoing burden New 8 48 16000
Third Party or Designated Executive Officer Undertaking Modified 33 33 16401
Total burden requested under this ICR: 357558635 4774146 32416956  
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