Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut

Rule 15c3-1; Net Capital Requirements for Brokers and Dealers

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0200 can be found here:

Documents and Forms

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

Information Collection (IC) Details

IC Title:	Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c3-1

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: 351	Number of Respondents for Small Entity: 139

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	351	351
Annual IC Time Burden (Hours)	2,924	2,924
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

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