Information Collection Request

Regulation BI- Best Interest

ICR 202212-3235-029 · OMB 3235-0762 · Received in OIRA

Forms and Documents

Document Name	Status
3235-0762.pdf Supplementary Document	2023-04-22
3235-0762.pdf Supplementary Document	2023-04-22
TM Emergency Request Memo FINAL 3235-0762 - Reg BI (DF) SIGNED dlb.pdf Supplementary Document	2022-11-15
84 FR 33318.pdf Supporting Statement B	2019-10-31
2022 Regulation Best Interest Sup Stmt.pdf Supporting Statement A	2022-12-22

IC Document Collections

IC ID	Document Title	Status
238361	IC18 - Compliance Obligation Written Policies and Procedures (Large BDs)	Unchanged
238360	IC17 -- Compliance Obligation Written Policies and Procedures (Small BDs)	Unchanged
231772	IC19 - Training-- Implement Training (All BDs)	Unchanged
231770	IC16 - Identification of Conflicts of Interests (All Broker-Dealers)	Unchanged
231769	IC15 - Written Policies and Procedures (Large Broker-Dealers)	Unchanged
231767	IC14 - Written Policies and Procedures (Small Broker-Dealers)	Unchanged
231766	IC13 - All BDs (Delivery of the Updated Conflict Disclosure)-- Ongoing	Unchanged
231765	IC12 - All BDs (Delivery of the Conflict Disclosure)-- Initial One-Time Burden	Unchanged
231764	IC11 - Large BDs (Disclosure of Conflicts of Interest)	Unchanged
231763	IC10 - Small BDs (Disclosure of Conflicts of Interest)	Unchanged
231762	IC9 - All BDs (Delivery of the Fee Schedule)-- Ongoing	Unchanged
231761	IC8 - All BDs (Delivery of the Fee Schedule)-- Initial One-Time Burden	Unchanged
231760	IC7 - Large BDs (Disclosure of Fees and Costs)	Unchanged
231759	IC6 - Small BDs (Disclosure of Fees and Costs)	Unchanged
231758	IC5 - All BDs (Delivery of the Account Discl. Document)-- Ongoing	Unchanged
231716	IC4 - All BDs (Delivery of the Account Discl. Document)-- Initial One-Time	Unchanged
231713	IC3 - Large BDs (Disclosure of Type & Scope of Services)	Unchanged
231712	IC2 - Small BDs (Disclosure of Type & Scope of Services)	Unchanged
231698	IC1 - Dually-registered BDs (Disclosure of Capacity)	Unchanged

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0762
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	202206-3235-017
Agency Tracking No	TM-270-808
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31