Information Collection

Conflict of Interest Polocies and Procedures by Futures Commission Merchants and introducting Brokers

IC 195305 under ICR 201601-3038-002 · OMB 3038-0078.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0078 can be found here:

Documents and Forms

Document Name Document Type

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

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Conflict of Interest Polocies and Procedures by Futures Commission Merchants and introducting Brokers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 1.71

Information Collection Instruments:

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

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1,362	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	117,132	-38,012	155,144
Annual IC Time Burden (Hours)	60,609	-19,669	80,278
Annual IC Cost Burden (Dollars)	0	-8,027,800	8,027,800

Documents for IC

Title	Document	Date Uploaded
No associated records found

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