Information Collection

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

IC 34755 under ICR 202509-3235-010 · OMB 3235-0279.

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IC Title:	Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers	Agency IC Tracking Number:	270-198

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-4

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,298	Number of Respondents for Small Entity: 2,726

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 95 %

	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	3,298	-210	3,508
Annual IC Time Burden (Hours)	837,692	-53,340	891,032
Annual IC Cost Burden (Dollars)	16,490,000	-1,050,000	17,540,000

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