Forms and Documents

Document Name	Status
3235-0033.pdf Supplementary Document	2022-10-08
3235-0033.pdf Supplementary Document	2022-10-08
DGL FINAL REVISED 2022 Rule 17a-3 supporting statement (Draft B - 07.26.2022) clean (002).pdf Supporting Statement A	2022-07-26

IC Document Collections

IC ID	Document Title	Status
34094	Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers	Modified
248614	Broker-dealer SBSDs only: Paragraph (a)(29)	Modified
248613	Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30)	Modified
248612	Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27)	Modified
237211	17a-3(a)(35) Record of Oral Disclosure	Modified
231807	Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden	Modified
231796	Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers	Modified
231789	Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers	Modified
231788	Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer	Modified
222972	Ongoing cost for equipment & systems development	Modified
222971	Rule 17a-3(a)(17) - providing updated information to customers	Modified
222969	Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD	Modified
222968	Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD	Modified
222967	Rule 17a-3(a)(17)(i)(B(1) - Small BD	Modified
209188	Rule 17a-3(a)(16)	Unchanged
208461	Rule 17a-3(a)(23) Part II	Modified
208460	Rule 17a-3(a)(23) Part I	Modified
208459	Rule 17a-3(a)(17)(i)(B)(1) - Large BD	Modified
208456	Rule 17a-3(a)(20-22)	Modified
208455	Rule 17a-3(a)(12, 19)	Modified

ICR Details

OMB Control No:	ICR Reference No:
Status:	Previous ICR Reference No:
Agency/Subagency:	Agency Tracking No:
Title:
Type of Information Collection:	Common Form ICR:
Type of Review Request:	Date Received in OIRA:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract:

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR?

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Number of Information Collection (IC) in this ICR: 0

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ICR Summary of Burden

	Total	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	0	0	0	0	0	0
Annual Time Burden (Hours)	0	0	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion:

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion:

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods?

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.    

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.    

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?

Is this ICR related to the Pandemic Response?

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Common Form ICR: 

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date:

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