Information Collection

Small Broker-Dealer Compliance Procedures under Rule 1102 - Initial

IC 263376 under ICR 202311-3235-009 · OMB 3235-0812.

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IC Title:

Small Broker-Dealer Compliance Procedures under Rule 1102 - Initial

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1102

Information Collection Instruments:

table that charts list of 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 %

table that charts list of burden
	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	761	761
Annual IC Time Burden (Hours)	1,263	1,263
Annual IC Cost Burden (Dollars)	1,257,933	1,257,933

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