Information Collection

IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities

IC 232073 under ICR 202309-3235-015 · OMB 3235-0703.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0703 can be found here:

Documents and Forms

Document Name Document Type
Form Form SCI IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities Form and Instruction
Form SCI Form SCI form-sci.pdf www.sec.gov/files/form-sci.pdf Form and Instruction
Form SCI Form SCI form-sci.pdf www.sec.gov/files/form-sci.pdf Form and Instruction
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA) IC Document
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA) IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	IC11 - SCI event notice required by Rule 1002(b)(2) - New SCI Entities	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1002(b)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form SCI	Form SCI	form-sci.pdf	https://www.sec.gov/files/form-sci.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: (SEC 49) Broker-Dealer Records	FR Citation: 64 FR 69051

Number of Respondents: 23	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	184	-86	270
Annual IC Time Burden (Hours)	4,416	-2,064	6,480
Annual IC Cost Burden (Dollars)	33,350	-41,221	74,571

Documents for IC

Title	Document	Date Uploaded
EFFS Privacy Impact Assessment (PIA)	SRTS EFFS PIA (FINAL)_Redacted.pdf	05/21/2015

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