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Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

IC 34101 under ICR 202508-3235-002 · OMB 3235-0035.

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Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers. 270-027
 
No Modified
 
Mandatory
 
17 CFR 240.17a-13

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

Economic Development Financial Sector Oversight

 

3,342 1,367
   
Private Sector Businesses or other for-profits
 
   0 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 3,342 0 -190 0 0 3,532
Annual IC Time Burden (Hours) 334,200 0 -19,000 0 0 353,200
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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