Information Collection

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

IC 35278 under ICR 201011-3235-003 · OMB 3235-0506.

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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:

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: 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 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	105	0	105
Annual IC Time Burden (Hours)	3,150	2,835	315
Annual IC Cost Burden (Dollars)	0	-28,350	28,350

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