Information Collection

Records to be preserved by broker-dealers. Rule 17a-4 (17 CFR 240.17a-4).

IC 34748 under ICR 199605-3235-023 · OMB 3235-0279.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0279 can be found here:

Documents and Forms

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Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Records to be preserved by broker-dealers. Rule 17a-4 (17 CFR 240.17a-4).	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: 8,300	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	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	8,300	0	8,300
Annual IC Time Burden (Hours)	2,077,075	0	2,077,075
Annual IC Cost Burden (Dollars)	41,541,000	41,541,000	0

Documents for IC

Title	Document	Date Uploaded

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