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

ICR 202401-3235-010

OMB: 3235-0279

Federal Form Document

⚠️ Notice: This information collection may be outdated.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

2024-03-29 - Revision of a currently approved collection

Forms and Documents

Document Name	Status
3235-0279 Supporting Statement (Cybersecurity Proposed Partial Revision).pdf Supporting Statement A	2024-01-17

IC Document Collections

IC ID	Document Title	Status
34755	Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers	Unchanged
264484	Retention of written report documenting annual review	New
264483	Retention of copy of any Form SCIR or immediate notice to the Commission	New
264481	Retention of records documenting a cybersecurity incident	New
264480	Retention of records documenting a Covered Entity's cybersecurity risk assessment	New
264479	Retention of copy of any public disclosures	New
264478	Retention of cybersecurity policies and procedures	New
258415	Rule 17a-4(b)(1), (e)(11), (e)(12) - Risk Mitigation	Unchanged
258134	Alternative undertaking - Cloud Service Providers	Unchanged
258133	Alternative undertaking - Broker-dealers	Unchanged
258132	17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual)	Unchanged
258131	17a-4(f) - Backup Systems or Redundant Equivalency	Unchanged
258130	17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized)	Unchanged
258129	17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual)	Unchanged
258128	17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized)	Unchanged
258127	17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual)	Unchanged
258126	17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized)	Unchanged
258125	17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual)	Unchanged
258124	Third Party or Designated Executive Officer Undertaking	Unchanged
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	Unchanged
231798	Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest	Unchanged
231797	Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI	Unchanged
209189	Rule 17a-4(b)(11) Record preservation requirements	Unchanged

ICR Details