Information Collection

Small Non-OATS-Reporting Broker-Dealers

IC 222887 under ICR 201911-3235-003 · OMB 3235-0671.

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Information Collection (IC) Details

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IC Title:	Small Non-OATS-Reporting Broker-Dealers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.613

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: 523	Number of Respondents for Small Entity: 523

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	523	-300	823
Annual IC Time Burden (Hours)	1,333,650	-765,000	2,098,650
Annual IC Cost Burden (Dollars)	86,903,981	-49,848,316	136,752,297

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