Information Collection

Regulations Requiring Additional Records to be Made and Retained by Brokers or Dealers in Securities

IC 194405 under ICR 202107-1506-003 · OMB 1506-0053.

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Information Collection (IC) Details

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IC Title:	Regulations Requiring Additional Records to be Made and Retained by Brokers or Dealers in Securities	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 31 CFR 1023.410 31 CFR 1010.430(d)

Information Collection Instruments:

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

Line of Business: Law Enforcement

Subfunction: Crime Prevention

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,640	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	3,640	-4,660	8,300
Annual IC Time Burden (Hours)	364,000	-466,000	830,000
Annual IC Cost Burden (Dollars)	0	0	0

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