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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 202301-3235-027 · OMB 3235-0279 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0279 Supporting Statement (02.08.23).pdf Supporting Statement A Uploaded 2023-02-09 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
34755 Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Modified
258415 Rule 17a-4(b)(1), (e)(11), (e)(12) - Risk Mitigation New
258134 Alternative undertaking - Cloud Service Providers New
258133 Alternative undertaking - Broker-dealers New
258132 17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual) New
258131 17a-4(f) - Backup Systems or Redundant Equivalency New
258130 17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized) New
258129 17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual) New
258128 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized) New
258127 17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual) New
258126 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized) New
258125 17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual) New
258124 Third Party or Designated Executive Officer Undertaking New
248621 Broker-Dealer SBSDs Only Unchanged
248620 Broker-Dealer SBSDs and Broker-Dealer MSBSPs Unchanged
248618 Security-Based Swap Activities Unchanged
248617 Telephonic Communications Unchanged
231799 Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS Modified
231798 Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Modified
231797 Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Modified
209189 Rule 17a-4(b)(11) Record preservation requirements Modified
ICR Details
StatusReceived in OIRA
Agency/SubagencySEC
OMB Control No3235-0279
Type of Information CollectionRevision of a currently approved collection
Previous ICR Reference No202208-3235-025
Agency Tracking NoTM-270-198
Date Submitted to OIRA1969-12-31
Requested Expiration Date1969-12-31