Information Collection

IC15 - Written Policies and Procedures (Large Broker-Dealers)

IC 231769 under ICR 202603-3235-001 · OMB 3235-0762.

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Information Collection (IC) Details

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IC Title:	IC15 - Written Policies and Procedures (Large Broker-Dealers)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15l-1(a)(2)(iii)

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: 1,774	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,774	-176	1,950
Annual IC Time Burden (Hours)	21,288	-2,112	23,400
Annual IC Cost Burden (Dollars)	0	0	0

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