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On-going Compliance and Surveillance to Ensure that Policies and Procedures are in Compliance with Rule 201 (broker-dealers)

IC 208817 under ICR 202601-3235-011 · OMB 3235-0670.

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On-going Compliance and Surveillance to Ensure that Policies and Procedures are in Compliance with Rule 201 (broker-dealers)
 
No Modified
 
Mandatory
 
17 CFR 242.201

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

Economic Development Financial Sector Oversight

 

3,342 1,981
   
Private Sector Businesses or other for-profits
 
   0 %

  Requested Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 3,342 0 -289 0 0 3,631
Annual IC Time Burden (Hours) 1,323,432 0 -114,444 0 0 1,437,876
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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