Information Collection

Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

IC 34425 under ICR 201107-3235-003 · OMB 3235-0133.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0133 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form SEC 1414 Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members	Form and Instruction
SEC 1414 Form X-17A-19 formx-17a-19.pdf	Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

Agency IC Tracking Number:

270-148

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 249.635 17 CFR 240.17a-19

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 1414	Form X-17A-19	formx-17a-19.pdf		No		Paper Only

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 10

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,200	600	600
Annual IC Time Burden (Hours)	300	150	150
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.