Information Collection

Rule 15c3-5: Risk Management Controls for Brokers or Dealers with Market Access

IC 192016 under ICR 202507-3235-001 · OMB 3235-0673.

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IC Title:	Rule 15c3-5: Risk Management Controls for Brokers or Dealers with Market Access	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c3-5

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: 500	Number of Respondents for Small Entity: 25

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	500	-20	520
Annual IC Time Burden (Hours)	80,000	-3,200	83,200
Annual IC Cost Burden (Dollars)	10,250,000	-410,000	10,660,000

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