Rule 15c3-5: Risk Management Controls for Brokers or Dealers with Market Access

Rule 15c3-5 -- Risk Management Controls for Brokers or Dealers with Market Access

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0673 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rule 15c3-5: Risk Management Controls for Brokers or Dealers with Market Access	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c3-5

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: 570	Number of Respondents for Small Entity: 21

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	570	-70	640
Annual IC Time Burden (Hours)	91,200	-11,200	102,400
Annual IC Cost Burden (Dollars)	11,685,000	-1,435,000	13,120,000

Documents for IC

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.