Reports To Be Made By Certain Brokers And Dealers. Rule 17a-5 (17 Cfr 240.17a-5) (17 Cfr 249.617)

REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617)

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0123 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:	REPORTS TO BE MADE BY CERTAIN BROKERS AND DEALERS. RULE 17A-5 (17 CFR 240.17A-5) (17 CFR 249.617)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC 410				No	No

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 8,800	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	61,600	8,600	53,000
Annual IC Time Burden (Hours)	739,200	103,200	636,000
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded

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