Rule 17a-4; Records to be
Preserved by Certain Exchange Members, Brokers and Dealers
Revision of a currently approved collection
No
Regular
06/29/2022
Requested
Previously Approved
12/31/2022
12/31/2022
1,084,647,707
1,084,643,934
9,985,158
9,981,785
34,757,920
18,891,320
Rule 17a-4 requires certain records to
be maintained by certain exchange members and registered brokers
and dealers. Partial Revision-- In November 2021, the Commission
proposed amendments to the electronic recordkeeping requirements of
broker-dealers in Rule 17a-4. This proposed revision addresses only
the collections of information that are proposed to be revised or
added as a result of the rule amendments proposed in November 2021
regarding the electronic recordkeeping requirements of
broker-dealers.
The proposed amendments to the
rule would result in new information collections related to
electronic recordkeeping and would increase the burdens in this
ICR.
$0
No
No
No
No
Yes
No
No
Timothy Fox 202
551-5687
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.