Information Collection

Reports To Be Made By Certain Brokers And Dealers -- Rule 17a-5, 17 Cfr 240.17a-5

IC 158519 under ICR 199302-3235-003 · OMB 3235-0123.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0123 can be found here:

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Information Collection (IC) Details

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IC Title:	REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS -- RULE 17A-5, 17 CFR 240.17A-5	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

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,599	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	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	60,400	29,600	30,800
Annual IC Time Burden (Hours)	724,800	-4,700	729,500
Annual IC Cost Burden (Dollars)	0	0	0

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