Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
TM Emergency Request Memo FINAL 3235-0762 - Reg BI (DF) SIGNED dlb.pdf	Supplementary Document	Uploaded 2022-11-15	Repair queued
84 FR 33318.pdf	Supporting Statement B	Uploaded 2019-10-31	Repair queued
2022 Regulation Best Interest Sup Stmt.pdf	Supporting Statement A	Uploaded 2022-07-13	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
238361	IC18 - Compliance Obligation Written Policies and Procedures (Large BDs)		Modified
238360	IC17 -- Compliance Obligation Written Policies and Procedures (Small BDs)		Modified
231772	IC19 - Training-- Implement Training (All BDs)		Modified
231771	Training-- Module Development (All BDs)		Removed
231770	IC16 - Identification of Conflicts of Interests (All Broker-Dealers)		Modified
231769	IC15 - Written Policies and Procedures (Large Broker-Dealers)		Modified
231767	IC14 - Written Policies and Procedures (Small Broker-Dealers)		Modified
231766	IC13 - All BDs (Delivery of the Updated Conflict Disclosure)-- Ongoing		Modified
231765	IC12 - All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden		Modified
231764	IC11 - Large BDs (Disclosure of Conflicts of Interest)		Modified
231763	IC10 - Small BDs (Disclosure of Conflicts of Interest)		Modified
231762	IC9 - All BDs (Delivery of the Fee Schedule)-- Ongoing		Modified
231761	IC8 - All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden		Modified
231760	IC7 - Large BDs (Disclosure of Fees and Costs)		Modified
231759	IC6 - Small BDs (Disclosure of Fees and Costs)		Modified
231758	IC5 - All BDs (Delivery of the Account Discl. Document)-- Ongoing		Modified
231716	IC4 - All BDs (Delivery of the Account Discl. Document)-- Initial One-Time		Modified
231713	IC3 - Large BDs (Disclosure of Type & Scope of Services)		Modified
231712	IC2 - Small BDs (Disclosure of Type & Scope of Services)		Modified
231698	IC1 - Dually-registered BDs (Disclosure of Capacity)		Modified

ICR Details

OMB Control No:	ICR Reference No:
Status:	Previous ICR Reference No:
Agency/Subagency:	Agency Tracking No:
Title:
Type of Information Collection:	Common Form ICR:
Type of Review Request:	Date Received in OIRA:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract:

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR?

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Number of Information Collection (IC) in this ICR: 0

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ICR Summary of Burden

table that charts list of burden

	Total	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	0	0	0	0	0	0
Annual Time Burden (Hours)	0	0	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion:

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion:

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods?

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.    

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.    

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?

Is this ICR related to the Pandemic Response?

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Common Form ICR: 

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date:

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