Information Collection

Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.

IC 34552 under ICR 200809-3235-012 · OMB 3235-0199.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0199 can be found here:

Documents and Forms

Document Name Document Type

No indexed documents/forms are available for this IC yet. A refresh has been queued.

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.	Agency IC Tracking Number:	270-199

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5(c)

Information Collection Instruments:

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

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 275	Number of Respondents for Small Entity: 14

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	220,000,000	2,000,000	218,000,000
Annual IC Time Burden (Hours)	137,940	7,940	130,000
Annual IC Cost Burden (Dollars)	0	-4,200,000	4,200,000

Documents for IC

Title	Document	Date Uploaded
No associated records found

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