OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 202312-3235-016 · OMB 3235-0033 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
Rule 17a-3 PRA Supporting Statement (2023 Rule 15l-2 Proposal).pdf Supporting Statement A Uploaded 2023-12-21 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
34094 Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Unchanged
264030 Rule 17a-3(a)(36) New
248614 Broker-dealer SBSDs only: Paragraph (a)(29) Unchanged
248613 Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30) Unchanged
248612 Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27) Unchanged
237211 17a-3(a)(35) Record of Oral Disclosure Unchanged
231807 Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden Unchanged
231796 Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers Unchanged
231789 Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers Unchanged
231788 Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer Unchanged
222972 Ongoing cost for equipment & systems development Unchanged
222971 Rule 17a-3(a)(17) - providing updated information to customers Unchanged
222969 Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Unchanged
222968 Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Unchanged
222967 Rule 17a-3(a)(17)(i)(B(1) - Small BD Unchanged
209188 Rule 17a-3(a)(16) Unchanged
208461 Rule 17a-3(a)(23) Part II Unchanged
208460 Rule 17a-3(a)(23) Part I Unchanged
208459 Rule 17a-3(a)(17)(i)(B)(1) - Large BD Unchanged
208456 Rule 17a-3(a)(20-22) Unchanged
208455 Rule 17a-3(a)(12, 19) Unchanged
ICR Details
3235-0033 202312-3235-016
Historical Inactive 202204-3235-004
SEC TM-240-026
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 01/26/2024
Retrieve Notice of Action (NOA) 12/21/2023
OIRA will review the ICR again upon finalization of the rule.
  Inventory as of this Action Requested Previously Approved
11/30/2025 11/30/2025 01/31/2026
425,601,810 0 425,601,810
8,342,195 0 8,342,195
105,320,999 0 105,320,999
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. Partial Revision-- the Commission is proposing to revise this collection of information in connection with a 2023 rulemaking to adopt new rule 15l-2 under the Exchange Act to require broker-dealers to have an established framework for eliminating or neutralizing certain conflicts of interest. The proposed amendments to Rule 17a-3 would require broker-dealers to make and maintain all records required to be made and maintained pursuant to proposed rule 15l-2, which would result in new estimates to this collection of information.
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-AN14 Proposed rulemaking 88 FR 53960 08/09/2023
No
Yes
Changing Regulations
No
The Commission recently proposed rule amendments that would add a new IC and hour burdens to this ICR. These proposed revisions are discussed in more detail in the attached Supporting Statement.
$0
No
    No
    No
No
No
No
No
Devin Ryan 202 551-7654 [email protected]
  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.
12/21/2023