Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC10: Recordkeeping obligations of broker-dealers relying on publicly available determinations by qualified IDQSs or registered national securities associations pursuant to paragraph (d)(2)(ii) Modified 196 323817 0
IC11: Recordkeeping obligations related to the creation of reasonable written policies and procedures under paragraph (a)(3) Modified 1 10 0
IC1: Recordkeeping Associated with the initial publication or submission of a Quotation in a Quotation Medium Modified 266 1558 0
IC2: Recordkeeping when relying on an exception under paragraph (f), that paragraph (b) information is current and publicly available Modified 198 67310 0
IC3: Recordkeeping obligations under unsolicited quotation exception under paragraph (f)(2) Modified 196 1007683 0
IC4: Recordkeeping obligations regarding frequency of a priced bid or offer quotation under paragraph (f)(3)(i)(A) Modified 198 327124 0
IC5: Recordkeeping obligations regarding trading suspensions under the provision in paragraph (f)(3)(i)(B) Modified 198 40 0
IC6: Recordkeeping obligations regarding determining shell status under the provision in paragraph (f)(3)(i)(B) Modified 198 35555 0
IC7: Recordkeeping obligations for the exceptions under paragraph (f)(5) – ADTV Test Modified 198 6542 0
IC8: Recordkeeping obligations for the exceptions under paragraph (f)(5) – Asset Test Modified 198 1558 0
IC9: Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii) Modified 77 144 0
Total burden requested under this ICR: 1924 1771341 0  
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