Information Collection

Rule 17a-5 Under Securities Exchange Act Of 1934, Reports To Be Made By Certain Brokers And Dealers

IC 158514 under ICR 198109-3235-026 · OMB 3235-0123.

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Information Collection (IC) Details

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IC Title:	RULE 17A-5 UNDER SECURITIES EXCHANGE ACT OF 1934, REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,000	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate
Annual Number of Responses for this IC	53,000	53,000
Annual IC Time Burden (Hours)	636,000	636,000
Annual IC Cost Burden (Dollars)	0	0

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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.