Information Collection

Annual Audit Report (Broker-Dealers)

IC 200447 under ICR 201111-3235-034 · 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⚠️ Notice: This information collection may be referencing outdated material.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:	Annual Audit Report (Broker-Dealers)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5

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: 5,063	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to New Statute
Annual Number of Responses for this IC	5,063	5,063
Annual IC Time Burden (Hours)	60,756	60,756
Annual IC Cost Burden (Dollars)	234,416,900	234,416,900

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