Information Collection

Rule 17a-3(a)(16); Records to be made by certain exchange members, brokers and dealers.

IC 35284 under ICR 200409-3235-005 · OMB 3235-0508.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0508 can be found here:

Documents and Forms

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Information Collection (IC) Details

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IC Title:	Rule 17a-3(a)(16); Records to be made by certain exchange members, brokers and dealers.	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

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

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 105	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	Previously Approved
Annual Number of Responses for this IC	105	105
Annual IC Time Burden (Hours)	2,835	2,835
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded

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