Information Collection

Rule 202(a)(11)-1 under the Investment Advisers Act of 1940- Certain Broker-Dealers Deemed Not To Be Investment Advisers

IC 35337 under ICR 200611-3235-005 · OMB 3235-0532.

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IC Title:	Rule 202(a)(11)-1 under the Investment Advisers Act of 1940- Certain Broker-Dealers Deemed Not To Be Investment Advisers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 275.202(a)(11)-1

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: 6,158	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	6,158	-1,942	8,100
Annual IC Time Burden (Hours)	511	-162	673
Annual IC Cost Burden (Dollars)	0	0	0

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