Rule 17a-4; Records to be
Preserved by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection
No
Regular
07/30/2021
Requested
Previously Approved
12/31/2022
12/31/2022
1,084,643,934
1,084,643,842
9,981,785
9,978,396
18,891,320
18,820,000
Rule 17a-4 requires certain records to
be maintained by certain exchange members and registered brokers
and dealers. Partial Revision-- the Commission is revising this
collection of information in connection with a 2019 rulemaking that
amended several Commission rules. Although the amendments were
adopted in 2019, they are not required to be complied with until
October 6, 2021. The amendments, which established recordkeeping
requirements for broker-dealers' security-based swap activities,
resulted in new estimates to this collection of information. The
proposed revisions were submitted to OMB in 2016 (see ICR Ref. No.
201603-3235-004), and this submission is for the final
revisions.
The Commission is adding four
new burdens to this collection of information as a result of the
2019 amendments to Rule 17a-4. They have been added at the end of
the IC list and are marked NEW. They are also included in a
separate chart in the Supporting Statement, in order to distinguish
them from the existing burdens in this collection of information,
which have not been changed.
$0
No
No
No
No
No
No
No
Abraham Jacob 202
551-5583
No
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:
(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;
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.