Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC1 - Dually-registered BDs (Disclosure of Capacity) Modified 274 1918 0
IC10 - Small BDs (Disclosure of Conflicts of Interest) Modified 409 409 0
IC11 - Large BDs (Disclosure of Conflicts of Interest) Modified 1774 3548 0
IC12 - All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden Modified 547737 10955 0
IC13 - All BDs (Delivery of the Updated Conflict Disclosure)-- Ongoing Modified 83200002 1664000 0
IC14 - Written Policies and Procedures (Small Broker-Dealers) Modified 409 2045 1018410
IC15 - Written Policies and Procedures (Large Broker-Dealers) Modified 1774 21288 0
IC16 - Identification of Conflicts of Interests (All Broker-Dealers) Modified 2183 21830 0
IC17 - Compliance Obligation Written Policies and Procedures (Small BDs) Modified 409 2045 1018410
IC18 - Compliance Obligation Written Policies and Procedures (Large BDs) Modified 1774 21288 0
IC19 - Training (Implement Training) (All BDs) Modified 2183 627639 0
IC2 - Small BDs (Disclosure of Type & Scope of Services) Modified 409 1636 0
IC3 - Large BDs (Disclosure of Type & Scope of Services) Modified 1774 35480 0
IC4 - All BDs (Delivery of the Account Discl. Document)-- Initial One-Time Modified 547737 10955 0
IC5 - All BDs (Delivery of the Account Disclosure Document)-- Ongoing Modified 41600012 832000 0
IC6 - Small BDs (Disclosure of Fees and Costs) Modified 409 818 0
IC7 - Large BDs (Disclosure of Fees and Costs) Modified 1774 7096 0
IC8 - All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden Modified 547737 10955 0
IC9 - All BDs (Delivery of the Fee Schedule)-- Ongoing Modified 83200002 1664000 0
Total burden requested under this ICR: 209658782 4939905 2036820  
To view an IC, click on IC Title