Information Collection

Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers

IC 34332 under ICR 202607-3235-013 · OMB 3235-0085.

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IC Title:

Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers

Agency IC Tracking Number:

270-94

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-11

Information Collection Instruments:

table that charts list of 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: 103

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 85 %

table that charts list of burden
	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	103	17	86
Annual IC Time Burden (Hours)	103	17	86
Annual IC Cost Burden (Dollars)	0	0	0

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