Information Collection

SCI event notice required by Rule 1002(b)(5)

IC 232076 under ICR 202104-3235-009 · OMB 3235-0703.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0703 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form Form SCI SCI event notice required by Rule 1002(b)(5)	Form and Instruction
Form SCI Form SCI Form SCI.pdf www.sec.gov/files/form-sci.pdf	Form and Instruction
Form SCI Form SCI Form SCI.pdf www.sec.gov/files/form-sci.pdf	Form and Instruction
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA)	IC Document
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA)	IC Document

IC Title:

SCI event notice required by Rule 1002(b)(5)

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1002(b)

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form SCI	Form SCI	Form SCI.pdf	https://www.sec.gov/files/form-sci.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: (SEC 49) Broker-Dealer Records

FR Citation: 64 FR 69051

Number of Respondents: 49

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	196	20	176
Annual IC Time Burden (Hours)	7,840	800	7,040
Annual IC Cost Burden (Dollars)	54,133	5,524	48,609

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
EFFS Privacy Impact Assessment (PIA)	SRTS EFFS PIA (FINAL)_Redacted.pdf	05/21/2015

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