Information Collection

Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii)

IC 251245 under ICR 202303-3235-044 · OMB 3235-0202.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0202 can be found here:

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Information Collection (IC) Details

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IC Title:	Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c2-11(a)(1)(ii)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 86	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	86	6	80
Annual IC Time Burden (Hours)	28	-70	98
Annual IC Cost Burden (Dollars)	0	0	0

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