Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0279 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest	Agency IC Tracking Number:	TM-270-198

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15l-1 17 CFR 240.17a-4(e)(5)

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: 2,578	Number of Respondents for Small Entity: 2,003

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 95 %

	Requested	Previously Approved
Annual Number of Responses for this IC	380,267,890	380,267,890
Annual IC Time Burden (Hours)	4,182,947	4,182,947
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

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No associated records found

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