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View ICR - OIRA Conclusion

OMB Control No: 3235-0199	ICR Reference No: 201412-3235-018
Status: Historical Active	Previous ICR Reference No: 201109-3235-006
Agency/Subagency: SEC	Agency Tracking No: TM-270-199
Title: Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/07/2015
	Date Received in OIRA: 03/24/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2018	36 Months From Approved	08/31/2015
Responses	46,005,978	0	40,005,284
Time Burden (Hours)	142,426	0	127,636
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	46,005,978	40,005,284	6,000,694
Annual Time Burden (Hours)	142,426	127,636	14,790
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Since the time of the last submission, there has been a decrease in the Commission's estimate of the number of broker-dealers that carry customer accounts, from 244 in 2011 to 213 in 2014, and an increase in the total number of public customer accounts, from 101 million in 2011 to 115 million in 2014. Further, the Commission previously estimated that 195 broker-dealers took advantage of the exemption of paragraph (c)(5) of Rule 17a-5 and that 49 broker-dealers carrying approximately 20 million customer accounts did not take advantage of the exemption. The Commission now estimates that 170 broker-dealers take advantage of the exemption and that 43 broker-dealers carrying 23 million customer accounts do not take advantage of the exemption.

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