Information Collection

Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

IC 34094 under ICR 201703-3235-003 · OMB 3235-0033.

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Information Collection (IC) Details

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IC Title:	Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers	Agency IC Tracking Number:	240-026

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-3

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: 4,104	Number of Respondents for Small Entity: 1,235

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	4,104	4,104
Annual IC Time Burden (Hours)	1,021,896	1,021,896
Annual IC Cost Burden (Dollars)	0	0

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