Recordkeeping And Reporting Requirements Relating To Trading Systems Operated By Brokers And Dealers -- Rule 17a-23 And Form 17a-23

RECORDKEEPING AND REPORTING REQUIREMENTS RELATING TO TRADING SYSTEMS OPERATED BY BROKERS AND DEALERS -- RULE 17A-23 AND FORM 17A-23

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0442 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	RECORDKEEPING AND REPORTING REQUIREMENTS RELATING TO TRADING SYSTEMS OPERATED BY BROKERS AND DEALERS -- RULE 17A-23 AND FORM 17A-23	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: 126	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	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	306	306
Annual IC Time Burden (Hours)	6,612	6,612
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.