Rules 15aa-1 and 15aa-2 and Form 15A

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 15A Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto	Form and Instruction	Modified	Available
Form 15A Application for Registration as a National or Affiliated	Form and Instruction	Modified	Available
3235-0030 Supporting Statement.pdf	Supporting Statement A	Uploaded 2026-08-18	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42937	APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED	Form	Removed
259157	15aa-2	Form and Instruction	Modified	Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto
258614	Rule 15aa-1	Form and Instruction	Modified	Application for Registration as a National or Affiliated

ICR Details

OMB Control No: 3235-0030	ICR Reference No: 202408-3235-023
Status: Received in OIRA	Previous ICR Reference No: 202302-3235-023
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rules 15aa-1 and 15aa-2 and Form 15A
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/19/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	12	0
Time Burden (Hours)	557	0
Cost Burden (Dollars)	0	0

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Abstract: Rules 15Aa-1 and 15Aa-2 requires applications for registration as a national securities association and currently registered national securities associations to complete Form 15A. The Commission adopted amendments to its rules to re-number Form X-15AA-1 as Form 15A and to repeal Form X-15AJ-1 and Form X-15AJ-2 and incorporate those information requirements into new Form 15A. The amendments also included in a new electronic submission requirement for Form 15A. The Commission subsequently adopted a final rule to extend the compliance date for the Form 15A electronic submission requirement to allow additional time for the orderly transition from paper to electronic filing.

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Authorizing Statute(s): US Code: 15 USC 78o-3 Name of Law: Securities Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Final or interim final rulemaking	90 FR 7250	01/21/2025

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
15aa-2	15A	Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto
APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED	RULE 15AA-1, X-15AA-1, 893
Rule 15aa-1	15A	Application for Registration as a National or Affiliated

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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	12	0	0	11	0	1
Annual Time Burden (Hours)	557	0	0	407	0	150
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission adopted final rules that re-numbered and combined certain forms and addressed the submission method for the re-numbered form. These changes are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government:

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: 08/19/2026

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