Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
"Short Exempt" Order Marking Modified 3342 14638 0
Establish Policies & Procedures (SRO trading centers) Modified 5 367 62000
Establish Policies & Procedures (non-SRO trading centers) Modified 15 800 186000
On-going Compliance and Surveillance to Ensure that Policies and Procedures are in Compliance with Rule 201 (broker-dealers) Modified 3342 1323432 0
On-going Compliance and Surveillance to Ensure that Policies and Procedures are in Compliance with Rule 201 (trading centers) Modified 271 107316 0
Total burden requested under this ICR: 6975 1446553 248000  
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