Information Collection

Rule 17a-3 Records To Be Made By Broker-dealers

IC 157997 under ICR 198212-3235-001 · OMB 3235-0033.

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Information Collection (IC) Details

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IC Title:	RULE 17A-3 RECORDS TO BE MADE BY BROKER-DEALERS	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	17A-3				No	No

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,000	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	1,750,000	1,750,000
Annual IC Time Burden (Hours)	3,500,000	3,500,000
Annual IC Cost Burden (Dollars)	0	0

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Title	Document	Date Uploaded

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.