Information Collection

Data Collection and Reporting - Small OATS-Reporting Broker-Dealers

IC 222886 under ICR 201703-3235-005 · OMB 3235-0671.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0671 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type

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

IC Title:

Data Collection and Reporting - Small OATS-Reporting Broker-Dealers

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.613

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: 806

Number of Respondents for Small Entity: 395

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Previously Approved
Annual Number of Responses for this IC	806	806
Annual IC Time Burden (Hours)	1,571,700	1,571,700
Annual IC Cost Burden (Dollars)	133,927,523	133,927,523

Documents for IC

table that charts IC Documents
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.