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. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members	Form and Instruction	Modified	Repair queued
3235-0133 30 Day Notice.pdf	Supplementary Document	Uploaded 2020-12-01	Repair queued
3235-0133 60 day notice.pdf	Supplementary Document	Uploaded 2020-12-01	Missing upstream
DGL REVISED 17a-19 PRA 2020 Supporting Statement.pdf	Supporting Statement A	Uploaded 2020-09-03	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

ICR Details

OMB Control No: 3235-0133	ICR Reference No: 202009-3235-002
Status: Received in OIRA	Previous ICR Reference No: 201711-3235-003
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	Date Submitted to OIRA: 12/01/2020

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	03/31/2021
Responses	408	800
Time Burden (Hours)	102	200
Cost Burden (Dollars)	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:
	85 FR 59365	09/21/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 77312	12/01/2020
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 Request	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	408	800	0	0	-392	0
Annual Time Burden (Hours)	102	200	0	0	-98	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 estimated annual industry burden has decreased from 200 hours to 102 hours based on a lower estimate of the number of Form X-17A-19s that the Commission receives on an annual basis.

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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? No

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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: 12/01/2020

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