Rule 17Ad-27

Forms and Documents

Document	Type	Status	Availability
3235-0799_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-06-26	Available
3235-0799_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-04-20	Available
3235-0799 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-04-15	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
256585	Rule 17Ad-27		Modified

ICR Details

OMB Control No: 3235-0799	ICR Reference No: 202604-3235-006
Status: Received in OIRA	Previous ICR Reference No: 202304-3235-008
Agency/Subagency: SEC	Agency Tracking No:
Title: Rule 17Ad-27
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 06/26/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2026
Responses	1	4
Time Burden (Hours)	37	167
Cost Burden (Dollars)	0	0

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Abstract: Rule 17Ad-27 under the Exchange Act, 17 CFR 240.17Ad-27, requires a clearing agency that is a central matching service provider to establish policies and procedures reasonably designed to facilitate straight-through processing and to file an annual report regarding progress with respect to straight-through processing. The purpose of the information collection is to ensure that central matching service providers facilitate the ongoing development of operational and technological improvements associated with the straight-through processing of institutional trades.

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Authorizing Statute(s): US Code: 15 USC 78q-1 Name of Law: Securities and Exchange Act of 1934, Section 17A - National system for clearance and settlement of s
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 21041	04/20/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 38742	06/26/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 17Ad-27

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ICR Summary 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	1	4	0	-3	0	0
Annual Time Burden (Hours)	37	167	0	-130	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The estimated burden has decreased due the decrease in the number of estimated respondents and the initial burden having been met. The 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]? Yes

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: 06/26/2026

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