Information Collection

Small Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing

IC 263371 under ICR 202311-3235-009 · OMB 3235-0812.

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IC Title:	Small Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1101

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: 761	Number of Respondents for Small Entity: 761

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	761	761
Annual IC Time Burden (Hours)	4,566	4,566
Annual IC Cost Burden (Dollars)	6,696,800	6,696,800

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