OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Regulation Best Execution

OMB 3235-0812 ยท SEC.

OMB 3235-0812

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Best Execution Supporting Statement (2023 Proposed Rule).pdfSupporting Statement A
Small Broker-Dealer Compliance Procedures under Rule 1102- Ongoing Information collection
Small Broker-Dealer Compliance Procedures under Rule 1102 - Initial Information collection
Large Broker-Dealer Compliance Procedures under Rule 1102 - Ongoing Information collection
Large Broker-Dealer Compliance Procedures under Rule 1102 - Initial Information collection
Small Broker-Dealer Regular Review and Documentation under Rule 1101 (b) and (c) - Ongoing Information collection
Large Broker-Dealer Regular Review and Documentation under Rule 1101(b) and (c) - Ongoing Information collection
Small Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing Information collection
Small Broker-Dealer Policies and Procedures under Rule 1101 - Initial Information collection
Large Broker-Dealer Policies and Procedures under Rule 1101 - Ongoing Information collection
Large Broker-Dealer Policies and Procedures under Rule 1101 - Initial Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202311-3235-009 New collection (Request for a new OMB Control Number) 2023-11-14 Comment filed on proposed rule