Information Collection

Records Of Non-resident Brokers And Dealers. Rule 17a-7 (17 Cfr 240.17a-79

IC 158559 under ICR 198109-3235-036 · OMB 3235-0131.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0131 can be found here:

Documents and Forms

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Information Collection (IC) Details

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IC Title:	RECORDS OF NON-RESIDENT BROKERS AND DEALERS. RULE 17A-7 (17 CFR 240.17A-79	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.	Available Electronically?	Can Be Submitted Electronically?
Form	RULE NO. 17	No	No
Form	CFR 240.	No	No
Form	17A-7	No	No

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1	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	1	1
Annual IC Time Burden (Hours)	1	1
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded

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