Information Collection

Rule 15g-4; Disclosure of compensation to brokers or dealers

IC 34987 under ICR 201803-3235-013 · OMB 3235-0393.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0393 can be found here:

Documents and Forms

Document Name Document Type
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Rule 15g-4; Disclosure of compensation to brokers or dealers	Agency IC Tracking Number:	270-347

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15g-4

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: 195	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	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,018,875	-135,850	1,154,725
Annual IC Time Burden (Hours)	16,964	-2,281	19,245
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA	EDGAR PIA 2016.pdf	10/09/2018

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