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View ICR - OIRA Conclusion

OMB Control No: 3235-0199	ICR Reference No: 201804-3235-017
Status: Historical Active	Previous ICR Reference No: 201412-3235-018
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 with change	Conclusion Date: 02/15/2019
	Date Received in OIRA: 08/09/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2022	36 Months From Approved	02/28/2019
Responses	54,004,571	0	46,005,978
Time Burden (Hours)	161,158	0	142,426
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	54,004,571	46,005,978	7,998,593
Annual Time Burden (Hours)	161,158	142,426	18,732
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 213 to 162, and an increase in the total number of public customer accounts, from 115 million to 132 million. Further, the Commission previously estimated that 170 broker-dealers took advantage of the exemption of paragraph (c)(5) of Rule 17a-5 and that 43 broker-dealers carrying approximately 23 million customer accounts did not take advantage of the exemption. The Commission now estimates that 129 broker-dealers take advantage of the exemption and that 33 broker-dealers carrying 27 million customer accounts do not take advantage of the exemption.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Rose Wells 202 942-0143

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