17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)

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⚠️ Notice: This information collection may be referencing outdated material.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:	17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-4

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: 20	Number of Respondents for Small Entity: 0

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	20	20
Annual IC Time Burden (Hours)	0	0
Annual IC Cost Burden (Dollars)	6,666,660	6,666,660

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.