Information Collection

Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers

IC 231796 under ICR 202107-3235-019 · OMB 3235-0033.

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Information Collection (IC) Details

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IC Title:	Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers	Agency IC Tracking Number:	TM-240-026

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15l-1 17 CFR 240.17a-3(35)

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: 756	Number of Respondents for Small Entity: 756

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

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Previously Approved
Annual Number of Responses for this IC	756	756
Annual IC Time Burden (Hours)	0	0
Annual IC Cost Burden (Dollars)	375,732	375,732

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