Information Collection

Conflict of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

IC 195305 under ICR 202506-3038-003 · OMB 3038-0078.

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IC Title:	Conflict of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 1.71

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 956	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	82,216	-9,374	91,590
Annual IC Time Burden (Hours)	42,542	-4,850	47,392
Annual IC Cost Burden (Dollars)	0	0	0

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