Information Collection

IC 5.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - New SCI Entities non-SROs

IC 262541 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⚠️ Notice: This information collection may be referencing outdated material.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:

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Information Collection (IC) Details

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IC Title:	IC 5.1 - Policies and procedures required by Rule 1001(b) - ongoing burden - New SCI Entities non-SROs	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1001(b)

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: 23	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	23	23
Annual IC Time Burden (Hours)	2,185	2,185
Annual IC Cost Burden (Dollars)	0	0

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