Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0035 30 Day Notice.pdf	Supplementary Document	Uploaded 2019-11-26	Available
3235-0035 60 day notice.pdf	Supplementary Document	Uploaded 2019-11-26	Available
DGL REVISED 2020 Rule 17a-13 Supporting Statement Version A.pdf	Supporting Statement A	Uploaded 2019-08-27	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34101	Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.		Modified

ICR Details

OMB Control No: 3235-0035	ICR Reference No: 201908-3235-022
Status: Active	Previous ICR Reference No: 201611-3235-039
Agency/Subagency: SEC	Agency Tracking No: TM-270-27
Title: Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.
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: 01/30/2020
	Date Received in OIRA: 12/05/2019
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	03/31/2020
Responses	3,744	0	16,268
Time Burden (Hours)	374,400	0	406,700
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-13 was adopted in 1971 to ensure that brokers and dealers posses or control securities as indicated in their records and that they know the location of those securities which they are to receive or deliver. Any differences must be reported in the broker's or dealer's records.

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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:
	84 FR 46982	09/06/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 64166	11/20/2019
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
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

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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	3,744	16,268	0	0	-12,524	0
Annual Time Burden (Hours)	374,400	406,700	0	0	-32,300	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 change in the recordkeeping burden is due to a change in the estimated number of broker-dealers subject to Rule 17a-13. The estimated number of broker-dealers decreased from 4,067 to 3,744. Therefore, the compliance burden decreased from 406,700 hours (4,067 respondents x 100 hours/respondent) to 374,400 hours (3,744 respondents x 100 hours/respondent), resulting in a burden change of 32,300 less 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.     No

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: 12/05/2019

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