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Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 202205-3235-049 · OMB 3235-0279 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0279 Supporting Statement (Rule 17a-4-- Partial Revision 2021).pdf Supporting Statement A Uploaded 2021-09-23 Missing upstream
IC Document Collections
IC IDCollectionTypeStatusForm
34755 Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Unchanged
253918 PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Annual) New
253917 PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Initial Annualized) New
253916 PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Initial Annualized) New
253915 PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Annual) New
253914 PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized) New
253913 PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual) New
253912 PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized) New
253911 PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual) New
253910 PROPOSED: Senior Officer Undertaking New
248621 Broker-Dealer SBSDs Only: Amendments to paragraph (b)(1) Modified
248620 Broker-Dealer SBSDs and Broker-Dealer MSBSPs: Amendments to paragraph (b)(1) and new paragraphs (b)(15) and (b)(16) Modified
248618 Security-Based Swap Ativities: Amendments to paragraphs (b)(1), (b)(8)(v)-(viii) and new paragraphs (b)(8)(xvi) and (b)(14) Modified
248617 Telephonic Communications: Amendment to paragraph (b)(4) Modified
231799 Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS Unchanged
231798 Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Unchanged
231797 Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Unchanged
209189 Rule 17a-4(b)(11) Record preservation requirements Unchanged
ICR Details
3235-0279 202205-3235-049
Received in OIRA 202107-3235-021
SEC TM-270-198
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection   No
Regular 06/29/2022
  Requested Previously Approved
12/31/2022 12/31/2022
1,084,647,707 1,084,643,934
9,985,158 9,981,785
34,757,920 18,891,320
Rule 17a-4 requires certain records to be maintained by certain exchange members and registered brokers and dealers. Partial Revision-- In November 2021, the Commission proposed amendments to the electronic recordkeeping requirements of broker-dealers in Rule 17a-4. This proposed revision addresses only the collections of information that are proposed to be revised or added as a result of the rule amendments proposed in November 2021 regarding the electronic recordkeeping requirements of broker-dealers.
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-AM76 Proposed rulemaking 86 FR 68300 12/01/2021
No
18
IC Title Form No. Form Name
Broker-Dealer SBSDs Only: Amendments to paragraph (b)(1)
Broker-Dealer SBSDs and Broker-Dealer MSBSPs: Amendments to paragraph (b)(1) and new paragraphs (b)(15) and (b)(16)
PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual)
PROPOSED: 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)
PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Annual)
PROPOSED: 17a-4(f) - Backup Systems for Large BDs (Initial Annualized)
PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Annual)
PROPOSED: 17a-4(f) - Backup Systems for Small BDs (Initial Annualized)
PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual)
PROPOSED: 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)
PROPOSED: Senior Officer Undertaking
Rule 17a-4(b)(11) Record preservation requirements
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI
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
Security-Based Swap Ativities: Amendments to paragraphs (b)(1), (b)(8)(v)-(viii) and new paragraphs (b)(8)(xvi) and (b)(14)
Telephonic Communications: Amendment to paragraph (b)(4)
  Total Request 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 1,084,647,707 1,084,643,934 0 3,773 0 0
Annual Time Burden (Hours) 9,985,158 9,981,785 0 3,373 0 0
Annual Cost Burden (Dollars) 34,757,920 18,891,320 0 15,866,600 0 0
Yes
Changing Regulations
No
The proposed amendments to the rule would result in new information collections related to electronic recordkeeping and would increase the burdens in this ICR.
$0
No
    No
    No
No
Yes
No
No
Timothy Fox 202 551-5687
  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.
06/29/2022