Information Collection

Risk Assessment Recordkeeping and Reporting Requirements for Associated Persons of Brokers and Dealers -- Rule 17h-1T, 17 CFR 240.17h-1T and 17h-2T, 17 CFR 240.17h-2T

IC 35005 under ICR 199708-3235-005 · OMB 3235-0410.

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IC Title:	Risk Assessment Recordkeeping and Reporting Requirements for Associated Persons of Brokers and Dealers -- Rule 17h-1T, 17 CFR 240.17h-1T and 17h-2T, 17 CFR 240.17h-2T	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: 250	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	Previously Approved
Annual Number of Responses for this IC	1,000	0	1,000
Annual IC Time Burden (Hours)	6,000	0	6,000
Annual IC Cost Burden (Dollars)	2,500,000	2,500,000	0

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