Rule 17a-4(b)(17)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0806_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-24	Available
3235-0806_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-20	Available
3235-0806 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-07-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
259454	Preserving the written probability of default calculation (Rule 17a-4)-Ongoing		Modified
259453	Preserving the written probability of default calculation (Rule 17a-4)-Initial		Modified

ICR Details

OMB Control No: 3235-0806	ICR Reference No: 202607-3235-009
Status: Received in OIRA	Previous ICR Reference No: 202308-3235-024
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-4(b)(17)
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: 09/24/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2026
Responses	550	602
Time Burden (Hours)	5,042	5,518
Cost Burden (Dollars)	0	0

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Abstract: To facilitate Commission examinations of broker-dealers who rely on the new exception in Rule 101 or Rule 102 of Regulation M, as applicable, for Nonconvertible Securities, Rule 17a-4(b)(17) that requires broker-dealers to preserve the written probability of default determination relied upon pursuant to Rule 101(c)(2)(i) or Rule 102(d)(2)(i), as applicable.

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Authorizing Statute(s): US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 939A Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   Statute at Large: 124 Stat. 1376 Name of Statute: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 15 USC 78c(b) Name of Law: Securities Exchange Act of 1934
  

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 45292	07/20/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 60665	09/24/2026
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
Preserving the written probability of default calculation (Rule 17a-4)-Initial
Preserving the written probability of default calculation (Rule 17a-4)-Ongoing

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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	550	602	0	-52	0	0
Annual Time Burden (Hours)	5,042	5,518	0	-476	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 decreased due to a decrease in the estimated number of respondents. This change is discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government: $0

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: 09/24/2026

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