Information Collection

Records To Be Preserved By Broker-dealers, Rule 17a-4 (17 Cfr 240.17a-4)

IC 159239 under ICR 198211-3235-017 · OMB 3235-0279.

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

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Information Collection (IC) Details

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IC Title:	RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)	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.	Available Electronically?	Can Be Submitted Electronically?
Form	17 CFR	No	No
Form	240.17A	No	No
Form	-4	No	No
Form	17A-4	No	No

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,000	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	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	1,750,000	1,750,000
Annual IC Time Burden (Hours)	1,750,000	1,750,000
Annual IC Cost Burden (Dollars)	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.