Information Collection Request

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

ICR 202301-3235-027 · OMB 3235-0279 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0279 can be found here:

Forms and Documents

Forms and supporting documents for this ICR
Document	Type	Status	Availability
3235-0279 Supporting Statement (02.08.23).pdf	Supporting Statement A	Uploaded 2023-02-09	Repair queued

IC Document Collections

Information collection document groups
IC ID	Collection	Status
34755	Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers	Modified
258415	Rule 17a-4(b)(1), (e)(11), (e)(12) - Risk Mitigation	New
258134	Alternative undertaking - Cloud Service Providers	New
258133	Alternative undertaking - Broker-dealers	New
258132	17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual)	New
258131	17a-4(f) - Backup Systems or Redundant Equivalency	New
258130	17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized)	New
258129	17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual)	New
258128	17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)	New
258127	17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual)	New
258126	17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)	New
258125	17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual)	New
258124	Third Party or Designated Executive Officer Undertaking	New
248621	Broker-Dealer SBSDs Only	Unchanged
248620	Broker-Dealer SBSDs and Broker-Dealer MSBSPs	Unchanged
248618	Security-Based Swap Activities	Unchanged
248617	Telephonic Communications	Unchanged
231799	Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS	Modified
231798	Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest	Modified
231797	Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI	Modified
209189	Rule 17a-4(b)(11) Record preservation requirements	Modified

ICR Details

Record metadata
Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0279
Type of Information Collection	Revision of a currently approved collection
Previous ICR Reference No	202208-3235-025
Agency Tracking No	TM-270-198
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31