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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1414 Form X-17A-19	Form and Instruction	Modified	Available
2014 17a-19 Supporting Statement DGL REDLINE.pdf	Supporting Statement A	Uploaded 2014-11-21	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34425	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	Modified	Form X-17A-19

ICR Details

OMB Control No: 3235-0133	ICR Reference No: 201405-3235-012
Status: Historical Active	Previous ICR Reference No: 201107-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM-270-148
Title: Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/25/2015
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/24/2014
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2018	36 Months From Approved	03/31/2015
Responses	800	0	1,200
Time Burden (Hours)	200	0	300
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 42563	07/22/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 59872	10/03/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members	SEC 1414	Form X-17A-19

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	800	1,200	0	0	-400	0
Annual Time Burden (Hours)	200	300	0	0	-100	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The burden has decreased to reflect the decline in the number of broker-dealers generally and broker-dealer membership changes taking place in national securities exchanges and registered national securities associations. This has resulted in a decrease in the number of Form X-17A-19 filings with the Commission.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 11/24/2014

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