IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities

Regulation SCI and Form SCI

Documents and Forms

Document Name Document Type
Form Form SCI IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities Form and Instruction
Form SCI Form SCI Form SCI.pdf www.sec.gov/files/form-sci.pdf Form and Instruction
Form SCI Form SCI Form SCI.pdf www.sec.gov/files/form-sci.pdf Form and Instruction
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA) IC Document
SRTS EFFS PIA (FINAL)_Redacted.pdf EFFS Privacy Impact Assessment (PIA) IC Document

Information Collection (IC) Details

IC Title:	IC13 - SCI event notice required by Rule 1002(b)(4) - New SCI Entities	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.1002(b)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form SCI	Form SCI	Form SCI.pdf	https://www.sec.gov/files/form-sci.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: (SEC 49) Broker-Dealer Records	FR Citation: 64 FR 69051

Number of Respondents: 23	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	184	-86	270
Annual IC Time Burden (Hours)	6,440	-3,010	9,450
Annual IC Cost Burden (Dollars)	33,350	-41,221	74,571

Documents for IC

Title	Document	Date Uploaded
EFFS Privacy Impact Assessment (PIA)	SRTS EFFS PIA (FINAL)_Redacted.pdf	05/21/2015

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