Written Policies and Procedures (Small Broker-Dealers)

Regulation BI- Best Interest

OMB: 3235-0762

IC ID: 231767

Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details

View Information Collection (IC)

Written Policies and Procedures (Small Broker-Dealers)
 
No New
 
Mandatory
 
17 CFR 15l-1(a)(2)(iii)  (To search for a specific CFR, visit the Code of Federal Regulations.)

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

Economic Development Financial Sector Oversight

 

756 756
   
Private Sector Businesses or other for-profits
 
   100 %

  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 756 0 756 0 0 0
Annual IC Time Burden (Hours) 6,300 0 6,300 0 0 0
Annual IC Cost Burden (Dollars) 7,920,363 0 7,920,363 0 0 0

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.

© 2024 OMB.report | Privacy Policy