Rule 17a-4, 17 CFR 240.17a-4, requires certain records to be maintained by certain exchange members, registered brokers and dealers, and other respondents. The collection of information helps ensure that respondents are in compliance with certain laws, rules, and regulations.
The number of estimated respondents has been revised for some of the information collections in this ICR. These changes are discussed in more detail in the attached Supporting Statement.
No
No
No
No
No
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.
20251204_3235-0279_2025-21924_90 FR 55945_30-Day Submission Notice.pdf.pdf
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers