Information Collection

Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers. Rule 17a-13 (17 CFR 240.17a-13).

IC 34100 under ICR 200204-3235-006 · OMB 3235-0035.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0035 can be found here:

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Information Collection (IC) Details

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IC Title:	Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers. Rule 17a-13 (17 CFR 240.17a-13).	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: 6,579	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	26,316	-2,308	28,624
Annual IC Time Burden (Hours)	657,900	-57,700	715,600
Annual IC Cost Burden (Dollars)	0	0	0

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