Information Collection

Exchange Act Rule 201(c) and 201(d)(6): Policies and Procedure Requirement under the Broker-Dealer and Riskless Principal Provisions

IC 194113 under ICR 201005-3235-005 · OMB 3235-0670.

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Information Collection (IC) Details

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IC Title:	Exchange Act Rule 201(c) and 201(d)(6): Policies and Procedure Requirement under the Broker-Dealer and Riskless Principal Provisions	Agency IC Tracking Number:	270-606

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.201(c) and 201 (d)(6)

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: 5,178	Number of Respondents for Small Entity: 890

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	62,136	62,136
Annual IC Time Burden (Hours)	2,878,968	2,878,968
Annual IC Cost Burden (Dollars)	34,520,000	34,520,000

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