Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

OMB: 3235-0279

IC ID: 231798

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Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest TM-270-198
 
No Unchanged
 
Mandatory
 
17 CFR 240.15l-1 17 CFR 240.17a-4(e)(5)

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

Economic Development Financial Sector Oversight

 

2,766 756
   
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 407,998,830 0 0 0 0 407,998,830
Annual IC Time Burden (Hours) 4,487,987 0 0 0 0 4,487,987
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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