Information Collection

IC9: Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii)

IC 251245 under ICR 202604-3235-013 · OMB 3235-0202.

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Information Collection (IC) Details

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IC Title:	IC9: Recordkeeping obligations of broker-dealers relying on a qualified IDQS complying with information review requirement pursuant to paragraph (a)(1)(ii)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c2-11(a)(1)(ii)

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: 77	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	77	-9	86
Annual IC Time Burden (Hours)	144	116	28
Annual IC Cost Burden (Dollars)	0	0	0

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