Written Policies and Procedures (Large Broker-Dealers)

Regulation BI- Best Interest

OMB: 3235-0762

IC ID: 231769

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Written Policies and Procedures (Large Broker-Dealers)
 
No New
 
Mandatory
 
17 CFR 240.15l-1(a)(2)(iii)

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

Economic Development Financial Sector Oversight

 

2,010 0
   
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 2,010 0 2,010 0 0 0
Annual IC Time Burden (Hours) 64,320 0 64,320 0 0 0
Annual IC Cost Burden (Dollars) 3,329,907 0 3,329,907 0 0 0

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

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