Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers

Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.

OMB: 3235-0199

IC ID: 34552

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Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers
 
No Modified
 
Mandatory
 
17 CFR 240.17a-5(c)

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

Economic Development Financial Sector Oversight

 

129 2
   
Private Sector Businesses or other for-profits
 
   0 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 258 0 0 -82 0 340
Annual IC Time Burden (Hours) 10,320 0 0 -3,280 0 13,600
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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