Forms and Documents

Document Name	Status
3235-0695.pdf Supplementary Document	2023-01-09
3235-0695.pdf Supplementary Document	2023-01-09
DGL FINAL REVISED 2023 Rule 17Ad-22 Supporting Statement.pdf Supporting Statement A	2022-10-27

IC Document Collections

IC ID	Document Title	Status
238130	IC52 - 17Ad-22(e)(23) (for respondent not registered)	Modified
238128	IC50 - 17Ad-22(e)(22) (for respondent not registered)	Modified
238127	IC48 - 17Ad-22(e)(21) (for respondent not registered)	Modified
238126	IC46 - 7Ad-22(e)(20) (for respondent not registered)	Modified
238125	IC44 - 17Ad-22(e)(19) (for respondent not registered)	Modified
238124	IC42 - 17Ad-22(e)(18) (for respondent not registered)	Modified
238123	IC40 - 17Ad-22(e)(17) (for respondent not registered)	Modified
238122	IC38 - 17Ad-22(e)(16) (for respondent not registered)	Modified
238121	IC36 - 17Ad-22(e)(15) (for respondent not registered)	Modified
238120	IC34 - 17Ad-22(e)(14) (for respondent not registered)	Modified
238119	IC32 - 17Ad-22(e)(13) (for respondent not registered)	Modified
238118	IC30 - 17Ad-22(e)(12) (for respondents not registered)	Modified
238117	IC27 - 17Ad-22(e)(10) (for respondent not registered)	Modified
238116	IC25 - 17Ad-22(e)(9) (for respondent not registered)	Modified
238115	IC23 - 17Ad-22(e)(8) (for respondent not registered)	Modified
238114	IC21 - 17Ad-22(e)(7) (for respondent not registered)	Modified
238113	IC19 - 17Ad-22(e)(6) (for respondent not registered)	Modified
238112	IC17 - 17Ad-22(e)(5) (for respondent not registered)	Modified
238111	IC15 - 17Ad-22(e)(4) (for respondent not registered)	Modified
238110	IC13 - 17Ad-22(e)(3) (for respondent not registered)	Modified
238109	IC11 - 17Ad-22(e)(2) (for respondent not registered)	Modified
238107	IC9 - 17Ad-22(e)(1) (for respondent not registered)	Modified
238106	IC6 - Rule 17Ad-22(c)(2) (for respondents not registered)	Unchanged
238102	IC7 - Rules 17Ad-22(d)(1)-(15)	Modified
223780	IC51 - 17Ad-22(e)(23) (for respondents already registered)	Modified
223779	IC49 - 17Ad-22(e)(22) (for respondents already registered)	Modified
223778	IC47 - 17Ad-22(e)(21) (for respondents already registered)	Modified
223777	IC45 - 17Ad-22(e)(20) (for respondents already registered)	Modified
223776	IC43 - 17Ad-22(e)(19) (for respondents already registered)	Modified
223775	IC41 - 17Ad-22(e)(18) (for respondents already registered)	Modified
223774	IC39 - 17Ad-22(e)(17) (for respondents already registered	Modified
223773	IC 37 - 17Ad-22(e)(16) (for respondents already registered)	Modified
223772	IC 35 - 17Ad-22(e)(15) (for respondents already registered)	Modified
223771	IC33 - 17Ad-22(e)(14) (for respondents already registered)	Modified
223770	IC31 - 17Ad-22(e)(13) (for respondents already registered)	Modified
223769	IC29 - 17Ad-22(e)(12) (for respondents already registered)	Modified
223768	IC28 - Rule 17Ad-22(e)(11)	Unchanged
223767	IC26 - 17Ad-22(e)(10) (for respondents already registered)	Modified
223766	IC24 - 17Ad-22(e)(9) (for respondents already registered)	Modified
223765	IC22 - 17Ad-22(e)(8) (for respondents already registered)	Modified
223764	IC20 - 17Ad-22(e)(7) (for respondents already registered)	Modified
223763	IC18 - 17Ad-22(e)(6) (for respondents already registered)	Modified
223762	IC16 - 17Ad-22(e)(5) (for respondents already registered)	Modified
223761	IC14 - 17Ad-22(e)(4) (for respondents already registered)	Modified
223760	IC12 - 17Ad-22(e)(3) (for respondents already registered)	Modified
223759	IC10 - 17Ad-22(e)(2) (for respondents already registered)	Modified
223758	Rule 17Ad-22(e)(1)	Modified
203049	IC5 - Rule 17Ad-22(c)(2) (for respondents already registered)	Unchanged
203048	IC4 - Rule 17Ad-22(c)(1) - Record of Financial Resources	Unchanged
203044	IC3 - Rules 17Ad-22(b)(5)-(7)	Unchanged
203043	IC2 - Rule 17Ad-22(b)(4) - Model Validation	Unchanged
203040	IC1 - Rules 17Ad-22(b)(1)-(3)	Unchanged

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:

	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

	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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