Rule 17a-11(b)–(f) – Notification Provisions for Broker and Dealers

Exchange Act Rule 17a-11: Notification Provisions for Brokers and Dealers (17 CFR 240.17a-11)

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0085 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Rule 17a-11(b)–(f) – Notification Provisions for Broker and Dealers	Agency IC Tracking Number:	TM-270-094

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-11

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: 497	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	497	32	465
Annual IC Time Burden (Hours)	497	32	465
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.