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Small Broker-Dealer Policies and Procedures under Rule 1101 - Initial
Regulation Best Execution
OMB: 3235-0812
IC ID: 263370
OMB.report
SEC
OMB 3235-0812
ICR 202311-3235-009
IC 263370
( )
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
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IC Title:
Small Broker-Dealer Policies and Procedures under Rule 1101 - Initial
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
New
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 242.1101
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
761
Number of Respondents for Small Entity:
761
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
761
0
761
0
0
0
Annual IC Time Burden (Hours)
4,566
0
4,566
0
0
0
Annual IC Cost Burden (Dollars)
8,178,216
0
8,178,216
0
0
0
Documents for IC
Title
Document
Date Uploaded
No associated records found
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.