Information Collection

IC12 - SCI event notice required by Rule 1002(b)(3)

IC 232074 under ICR 202410-3235-003 · OMB 3235-0703.

Documents and Forms

Document Name Document Type
Form Form SCI IC12 - SCI event notice required by Rule 1002(b)(3) 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

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	IC12 - SCI event notice required by Rule 1002(b)(3)	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: 55	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	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	110	2	108
Annual IC Time Burden (Hours)	578	11	567
Annual IC Cost Burden (Dollars)	30,381	552	29,829

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.