Information Collection

Recordkeeping and Confirmation Requirements for Securities Transactions

IC 19981 under ICR 200507-1550-002 · OMB 1550-0109.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 1550-0109 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type

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

IC Title:

Recordkeeping and Confirmation Requirements for Securities Transactions

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

table that charts list of 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: 880

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	880	-127	1,007
Annual IC Time Burden (Hours)	4,400	-6,677	11,077
Annual IC Cost Burden (Dollars)	132,000	-661,000	793,000

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded

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