Information Collection

Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update models - new firms)

IC 206974 under ICR 201309-3235-008 · OMB 3235-0200.

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IC Title:	Rule 15c3-1; Net Capital Requirements for Brokers and Dealers (Appendix E & G - review and update models - new firms)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c3-1

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: 3	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	3	-1	4
Annual IC Time Burden (Hours)	8,400	-2,800	11,200
Annual IC Cost Burden (Dollars)	0	0	0

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