Rule 17a-3, 17 CFR 240.17a-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 78
Name of Law: Section 2 of the Securities Exchange Act of 1934
US Code:
15 USC 78b
Name of Law: Section 3 of the Securities Exchange Act of 1934
US Code:
15 USC 78o
Name of Law: Section 15 of the Securities Exchange Act of 1934
US Code:
15 USC 78o-4
Name of Law: Section 15B of the Securities Exchange Act of 1934
US Code:
15 USC 78q
Name of Law: Section 17 of the Securities Exchange Act of 1934
US Code:
15 USC 78w
Name of Law: Section 23 of the Securities Exchange Act of 1934
There are changes in the estimated burdens due to changes in the estimated number of respondents and the number of customer accounts as well as increases in estimated costs. These estimates are discussed in more detail in the attached Supporting Statement.
$0
No
No
No
No
No
No
No
Abraham Jacob 202 551-5583
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.
20251118_3235-0033_2025-20180_90 FR 51799_30-Day Submission Notice.pdf.pdf
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers