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Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 202301-3235-012 · OMB 3235-0200 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0200.pdf Supplementary Document Uploaded 2023-03-30 Missing upstream
3235-0200.pdf Supplementary Document Uploaded 2023-03-30 Repair queued
DGL FINAL REVISED 2023 Rule 15c3-1 Supporting Statement (v3 - Burden Comparison Chart Added).pdf Supporting Statement A Uploaded 2023-01-19 Repair queued
3235-0200 30 Day Notice.pdf Supplementary Document Uploaded 2020-04-20 Repair queued
3235-0200 60 Day Notice.pdf Supplementary Document Uploaded 2020-04-20 Repair queued
August 2019 SUPPORTING STATEMENT Rule 15c3-1 (3235-0200) Final Rule.pdf Supplementary Document Uploaded 2020-01-16 Missing upstream
IC Document Collections
IC IDCollectionTypeStatusForm
42976 Rule 15c3-1; Notices Modified
236947 NEW: 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel Modified
236945 NEW: 15c3-1 Account Control Agreements – Outside Counsel Review (Costs) Modified
236941 NEW: 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours) Modified
236939 NEW: 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification Modified
236938 NEW: Rule 15c3-4: Risk management control system Modified
208585 Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut Modified
208584 Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut Modified
207432 Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C Unchanged
206989 Rule 15c3-1; Appendix G updating risk management profile for new ANC firms Unchanged
206988 Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms Unchanged
206987 Rule 15c3-1; Appendix G notification provision for new ANC firms Unchanged
206986 Rule 15c3-1; Appendix G notification provision for existing ANC firms Unchanged
206985 Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing) Unchanged
206984 Rule 15c3-1; Appendix G recordkeeping for existing ANC firms Unchanged
206983 Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial) Unchanged
206981 Rule 15c3-1; Appendix G annual reports for new ANC firms Unchanged
206980 Rule 15c3-1; Appendix G quarterly reports for new ANC firms Unchanged
206979 Rule 15c3-1; Appendix G monthly reports for new ANC firms Unchanged
206978 Rule 15c3-1; Appendix G annual reports for existing ANC firms Unchanged
206977 Rule 15c3-1; Appendix G quarterly reports for existing ANC firms Unchanged
206976 Rule 15c3-1; Appendix G monthly reports for existing ANC firms Unchanged
206975 Rule 15c3-1; Reviewing and back testing models for new ANC firms Unchanged
206974 Rule 15c3-1; Reviewing and back testing models for existing ANC firms Unchanged
190804 Rule 15c3-1; Appendix E computations for ANC firms Unchanged
190803 Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability Modified
190802 Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements Unchanged
ICR Details
StatusReceived in OIRA
Agency/SubagencySEC
OMB Control No3235-0200
Type of Information CollectionExtension without change of a currently approved collection
Previous ICR Reference No201912-3235-005
Agency Tracking NoTM-270-197
Date Submitted to OIRA1969-12-31
Requested Expiration Date1969-12-31