Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut Modified 189 1574 0
Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut Modified 189 1890 0
Rule 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification Modified 1 1 0
Rule 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel Modified 4 27 12347
Rule 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours) Modified 700 1400 0
Rule 15c3-1; Appendix E computations for ANC firms Unchanged 5 1667 0
Rule 15c3-1; Appendix G annual reports for existing ANC firms Unchanged 5 1000 0
Rule 15c3-1; Appendix G annual reports for new ANC firms Unchanged 5 667 0
Rule 15c3-1; Appendix G monthly reports for existing ANC firms Unchanged 60 480 0
Rule 15c3-1; Appendix G monthly reports for new ANC firms Unchanged 60 320 0
Rule 15c3-1; Appendix G notification provision for existing ANC firms Unchanged 5 5 0
Rule 15c3-1; Appendix G notification provision for new ANC firms Unchanged 5 3 0
Rule 15c3-1; Appendix G quarterly reports for existing ANC firms Unchanged 20 320 0
Rule 15c3-1; Appendix G quarterly reports for new ANC firms Unchanged 20 213 0
Rule 15c3-1; Appendix G recordkeeping for existing ANC firms Unchanged 5 1450 0
Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial) Unchanged 5 67 0
Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing) Unchanged 5 967 0
Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms Unchanged 5 1250 0
Rule 15c3-1; Appendix G updating risk management profile for new ANC firms Unchanged 5 833 0
Rule 15c3-1; Notices Modified 870 435 0
Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C Modified 8 0 74080
Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability Modified 246 246 0
Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements Unchanged 6 40 0
Rule 15c3-1; Reviewing and back testing models for existing ANC firms Unchanged 5 31200 0
Rule 15c3-1; Reviewing and back testing models for new ANC firms Unchanged 5 20800 0
Rule 15c3-4: Risk management control system Modified 1 917 25833
Rule 5c3-1 Account Control Agreements – Outside Counsel Review (Costs) Modified 7 0 21607
Total burden requested under this ICR: 2441 67772 133867  
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