OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Regulation BI- Best Interest

ICR 202212-3235-029 · OMB 3235-0762 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0762.pdf Supplementary Document Uploaded 2023-04-22 Repair queued
3235-0762.pdf Supplementary Document Uploaded 2023-04-22 Repair queued
TM Emergency Request Memo FINAL 3235-0762 - Reg BI (DF) SIGNED dlb.pdf Supplementary Document Uploaded 2022-11-15 Missing upstream
84 FR 33318.pdf Supporting Statement B Uploaded 2019-10-31 Repair queued
2022 Regulation Best Interest Sup Stmt.pdf Supporting Statement A Uploaded 2022-12-22 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
238361 IC18 - Compliance Obligation Written Policies and Procedures (Large BDs) Unchanged
238360 IC17 -- Compliance Obligation Written Policies and Procedures (Small BDs) Unchanged
231772 IC19 - Training-- Implement Training (All BDs) Unchanged
231770 IC16 - Identification of Conflicts of Interests (All Broker-Dealers) Unchanged
231769 IC15 - Written Policies and Procedures (Large Broker-Dealers) Unchanged
231767 IC14 - Written Policies and Procedures (Small Broker-Dealers) Unchanged
231766 IC13 - All BDs (Delivery of the Updated Conflict Disclosure)-- Ongoing Unchanged
231765 IC12 - All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden Unchanged
231764 IC11 - Large BDs (Disclosure of Conflicts of Interest) Unchanged
231763 IC10 - Small BDs (Disclosure of Conflicts of Interest) Unchanged
231762 IC9 - All BDs (Delivery of the Fee Schedule)-- Ongoing Unchanged
231761 IC8 - All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden Unchanged
231760 IC7 - Large BDs (Disclosure of Fees and Costs) Unchanged
231759 IC6 - Small BDs (Disclosure of Fees and Costs) Unchanged
231758 IC5 - All BDs (Delivery of the Account Discl. Document)-- Ongoing Unchanged
231716 IC4 - All BDs (Delivery of the Account Discl. Document)-- Initial One-Time Unchanged
231713 IC3 - Large BDs (Disclosure of Type & Scope of Services) Unchanged
231712 IC2 - Small BDs (Disclosure of Type & Scope of Services) Unchanged
231698 IC1 - Dually-registered BDs (Disclosure of Capacity) Unchanged
ICR Details
StatusReceived in OIRA
Agency/SubagencySEC
OMB Control No3235-0762
Type of Information CollectionExtension without change of a currently approved collection
Previous ICR Reference No202206-3235-017
Agency Tracking NoTM-270-808
Date Submitted to OIRA1969-12-31
Requested Expiration Date1969-12-31