Information Collection

Net Capital Requirements for Brokers and Dealers -- Rule 15c3-1, 17 CFR 240.15c3-1

IC 34554 under ICR 199908-3235-006 · OMB 3235-0200.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0200 can be found here:

Documents and Forms

Document Name Document Type

No indexed documents/forms are available for this IC yet. A refresh has been queued.

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Net Capital Requirements for Brokers and Dealers -- Rule 15c3-1, 17 CFR 240.15c3-1	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: 8,500	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	Previously Approved
Annual Number of Responses for this IC	1,100	-50	1,150
Annual IC Time Burden (Hours)	950	-200	1,150
Annual IC Cost Burden (Dollars)	0	-23,000	23,000

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.