Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0085_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-30	Available
3235-0085_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-27	Available
3235-0085 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-07-21	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34332	Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers		Modified
248630	Rule 17a-11(g) – Notices Filed by National Securities Exchanges and Associations with respect to Paragraph (f) of Rule 17a-11		Modified
248629	Rule 17a-11(f) – Notice of Failure to Deposit in Rule 15c3-3(p) Account		Modified
208441	Rule 17a-11(b)(5) - Monthly Stock Loan/Borrow Reports		Modified
208438	Rule 17a-11(g) - Notices Filed by National Securities Exchanges and Associations with respect to Paragraphs (a)-(e) of Rule 17a-11		Modified

ICR Details

OMB Control No: 3235-0085	ICR Reference No: 202607-3235-013
Status: Received in OIRA	Previous ICR Reference No: 202307-3235-026
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers
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: 09/30/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	201	274
Time Burden (Hours)	201	274
Cost Burden (Dollars)	0	0

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Abstract: Rule 17a-11 was adopted in 1971 to provide advance warning and information regarding brokers and dealers that are experiencing financial or operational difficulties.

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Authorizing Statute(s): US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act
   US Code: 15 USC 78o(c)(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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 47018	07/27/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 61901	09/30/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17a-11(g) – Notices Filed by National Securities Exchanges and Associations with respect to Paragraph (f) of Rule 17a-11
Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers
Rule 17a-11(b)(5) - Monthly Stock Loan/Borrow Reports
Rule 17a-11(f) – Notice of Failure to Deposit in Rule 15c3-3(p) Account
Rule 17a-11(g) - Notices Filed by National Securities Exchanges and Associations with respect to Paragraphs (a)-(e) of Rule 17a-11

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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	201	274	0	-73	0	0
Annual Time Burden (Hours)	201	274	0	-73	0	0
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: Miscellaneous Actions

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 number of respondents.

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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.     Yes

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: 09/30/2026

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