Information Collection

Rule 17a-4(b)(11); Records to be preserved by certain exchange members, brokers and dealers.

IC 35278 under ICR 200709-3235-009 · OMB 3235-0506.

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Information Collection (IC) Details

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IC Title:	Rule 17a-4(b)(11); Records to be preserved by certain exchange members, brokers and dealers.	Agency IC Tracking Number:	240-449

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-4(b)(11)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 105	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	105	0	105
Annual IC Time Burden (Hours)	315	0	315
Annual IC Cost Burden (Dollars)	28,350	28,350	0

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