OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

ICR 201910-3235-003 · OMB 3235-0033 · Public filing

Forms and Documents

Forms and supporting documents for this ICR
DocumentTypeStatusAvailability
3235-0033 60 day notice.pdf Supplementary Document Uploaded 2019-10-29 Available
3235-0033 30 Day Notice.pdf Supplementary Document Uploaded 2019-10-29 Available
ULT FINAL DGL COMBINED REVISED 17a-3 supporting statement (Draft K - 10.01.2019) clean.pdf Supporting Statement A Uploaded 2019-10-04 Available

IC Document Collections

Information collection document groups
IC IDCollectionTypeStatusForm
34094 Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Modified
237211 NEW: 17a-3(a)(35) Record of Oral Disclosure Unchanged
231807 NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden Unchanged
231796 NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers Unchanged
231789 NEW: Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers Unchanged
231788 NEW: Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer Unchanged
222972 Ongoing cost for equipment & systems development Modified
222971 Rule 17a-3(a)(17) - providing updated information to customers Modified
222969 Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Modified
222968 Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Modified
222967 Rule 17a-3(a)(17)(i)(B(1) - Small BD Modified
209188 Rule 17a-3(a)(16) Modified
208461 Rule 17a-3(a)(23) Part II Modified
208460 Rule 17a-3(a)(23) Part I Modified
208459 Rule 17a-3(a)(17)(i)(B)(1) - Large BD Modified
208456 Rule 17a-3(a)(20-22) Modified
208455 Rule 17a-3(a)(12, 19) Modified

ICR Details

Record metadata
OMB Control No3235-0033