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Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

ICR 201311-3235-002 · OMB 3235-0033 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Rule_17a-3_Supporting_Statement_Version_D_(2)[1].pdf Supporting Statement A Uploaded 2013-11-04 Repair queued
Rule 17a-3(a)(16) change just.docx Justification for No Material/Nonsubstantive Change Uploaded 2013-11-04 Available
IC Document Collections
IC IDCollectionTypeStatusForm
34094 Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Unchanged
209188 Rule 17a-3(a)(16) New
208461 Rule 17a-3(a)(23) Part II Unchanged
208460 Rule 17a-3(a)(23) Part I Unchanged
208459 Rule 17a-3(a)(17) Unchanged
208456 Rule 17a-3(a)(20-22) Unchanged
208455 Rule 17a-3(a)(12, 19) Unchanged
ICR Details
3235-0033 201311-3235-002
Historical Active 201309-3235-004
SEC TM-240-026
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 12/27/2013
Retrieve Notice of Action (NOA) 11/04/2013
  Inventory as of this Action Requested Previously Approved
10/31/2016 10/31/2016 10/31/2016
19,940 0 19,835
2,734,092 0 2,731,257
16,977,793 0 16,977,793
Rule 17a-3 requires certain records to be made by certain exchange members and registered brokers and dealers. The rule serves to standardize prudent business practices. Among other things, these records are essential for regulatory purposes including examinations, investigations, and enforcement proceedings, which are significant customer protection safeguards.
US Code: 15 USC 78b, 78c, 78o, 78o-4, 78q, 78w Name of Law: Sections 2, 3, 15, 15B, 17 and 23 of the Securities Exchange Act of 1934.
  
None
3235-AJ85 Final or interim final rulemaking 78 FR 51824 08/21/2013
Yes
  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 19,940 19,835 0 0 105 0
Annual Time Burden (Hours) 2,734,092 2,731,257 0 0 2,835 0
Annual Cost Burden (Dollars) 16,977,793 16,977,793 0 0 0 0
No
No
To simplify the ICR process, we are adding Rule 17a-3(a)(16) to the larger information collection for Rule 17a-3 in its entirety, and will discontinue ICR 3235-0508 for Rule 17a-3(a)(16). This will add 2,835 hours additional hours to Rule 17a-3.
$0
No
No
No
No
No
Uncollected
Sheila Swartz 202 551-5545
  No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
11/04/2013