Information Collection

17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)

IC 258128 under ICR 202509-3235-010 · OMB 3235-0279.

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Information Collection (IC) Details

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IC Title:	17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-4

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: 80	Number of Respondents for Small Entity: 80

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

Percentage of Respondents Reporting Electronically: 95 %

	Approved	Previously Approved
Annual Number of Responses for this IC	80	80
Annual IC Time Burden (Hours)	0	0
Annual IC Cost Burden (Dollars)	2,666,640	2,666,640

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