Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0208 30 Day Notice.pdf	Supplementary Document	Uploaded 2019-11-13	Available
3235-0208 60 Day Notice.pdf	Supplementary Document	Uploaded 2019-11-13	Available
Rule 17a-1 30 day notice (2019).docx	Supplementary Document	Uploaded 2019-07-25	Available
Rule 17a-1 60 Day Notice (2019).doc	Supplementary Document	Uploaded 2019-07-25	Available
Rule 17a-1 Justification (2019).pdf	Supporting Statement A	Uploaded 2019-11-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34581	Rule 17a-1: SRO's Required to Comply with Rule		Modified
193711	Rule 17a-1: Notice-Registered National Securities Exchanges		Unchanged

ICR Details

OMB Control No: 3235-0208	ICR Reference No: 201907-3235-026
Status: Active	Previous ICR Reference No: 201606-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM-270-244
Title: Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board.
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: 01/02/2020
	Date Received in OIRA: 11/13/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2023	36 Months From Approved	12/31/2019
Responses	38	0	33
Time Burden (Hours)	1,772	0	1,512
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-1 requires that all national securities exchanges and associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of five, two years in an accessible place, all documents that they make or receive respecting their self-regulatory activities, and that such documents be made available for examination by the Commission.

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Authorizing Statute(s): US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act of 1934
  

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:
	84 FR 37919	08/02/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 57920	10/29/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17a-1: Notice-Registered National Securities Exchanges
Rule 17a-1: SRO's Required to Comply with Rule

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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	38	33	0	0	5	0
Annual Time Burden (Hours)	1,772	1,512	0	0	260	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 number of registered national securities exchanges registered pursuant to Section 6(a) of the Act has increased from 19 to 23, while the number of registered clearing agencies has increased from 8 to 9. These changes account for the change in the hours burden estimate from 1,512 hours to 1,772 hours.

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Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 11/13/2019

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