Rule 15c3-3, Customer Protection - Reserves and Custody of Securities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0078_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-25	Available
3235-0078 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-08-18	Available
2026-14929.pdf	Supplementary Document	Uploaded 2026-08-06	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
281822	Rule 15c3-3(a)(16)		New
273798	Rule 15c3-3(e)(3)(v) notification		Unchanged
263666	Rule 15c3-3(e)(3)(i)(B)(2) notification		Unchanged
241783	Rule 15c3-3(p)(4)(ii) - Subordination Agreements (One-Time Costs)		Modified
241782	Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)		Modified
241781	Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- New Account Relationships)		Modified
241780	Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- Entering into Agreements)		Modified
241779	Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- Preparing Standard Agreements)		Modified
241778	Rule 15c3-3(p)(4)(i) - Counterparty Notice (Ongoing)		Modified
241777	Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)		Modified
241776	Rule 15c3-3(p)(3)(iii) - Customer Reserve Computation		Modified
241775	Rule 15c3-3(p)(1) Special Accounts (Ongoing)		Modified
241774	Rule 15c3-3(p)(1) Special Accounts (One-Time)		Modified
226411	Rule 15c3-3(e) - daily		Modified
226410	Rule 15c3-3(e) - monthly		Modified
226409	Rule 15c3-3(e) - weekly computations		Modified
226407	Rule 15c3-3(e)(3) - monthly		Modified
226406	Rule 15c3-3(e)(3) - weekly		Modified
226405	Rule 15c3-3(e)(3) - daily computations		Modified
226404	Rules 15c3-3(o)(2)		Modified
211253	Reference Removal - Note G (initial)		Modified
211252	Reference Removal - Note G (annual)		Modified
208490	Rule 15c3-3(j)(2) - initial		Modified
208489	Rule 15c3-3(j)(2) - annual		Modified
208487	Rule 15c3-3(j)(1) - annual		Modified
208483	Rule 15c3-3 - amend/update PAB agreement		Modified
208482	Rule 15c3-3(b)(5) - notices to affected customers		Modified
208481	Rule 15c3-3(b)(5) - draft/update notice		Modified
208480	Rule 15c3-3(a)(16) (Initial)		Modified
208479	Rule 15c3-3(o)(3)		Modified
208478	Rule 15c3-3(f) - notice		Modified
208477	Rule 15c3-3(f) - obtain new letter		Modified

ICR Details

OMB Control No: 3235-0078	ICR Reference No: 202608-3235-006
Status: Received in OIRA	Previous ICR Reference No: 202501-3235-015
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15c3-3, Customer Protection - Reserves and Custody of Securities
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: 09/25/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2026
Responses	21,082,041	16,611,830
Time Burden (Hours)	1,459,682	1,166,134
Cost Burden (Dollars)	5,076,466	3,530,101

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Abstract: Rule 15c3-3 (17 CFR 240.15c3-3) provides for the protection of customer funds and securities in the custody of a broker-dealer. The Rule sets forth standards for (i) a broker-dealer's acceptance, custody, and use of customer securities, and (ii) the maintenance of reserves with respect to customer deposits and monies obtained from the use of customer securities. Rule 15c3-3 also contains requirements for broker-dealers that hold security futures products for customers.

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Authorizing Statute(s): US Code: 15 USC 78b Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o-4 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w 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 46517	07/23/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 60999	09/25/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 32

table that charts list of burden

IC Title	Form No.	Form Name
Rule 15c3-3(p)(4)(ii) - Subordination Agreements (One-Time Costs)
Reference Removal - Note G (annual)
Reference Removal - Note G (initial)
Rule 15c3-3 - amend/update PAB agreement
Rule 15c3-3(a)(16)
Rule 15c3-3(a)(16) (Initial)
Rule 15c3-3(b)(5) - draft/update notice
Rule 15c3-3(b)(5) - notices to affected customers
Rule 15c3-3(e) - daily
Rule 15c3-3(e) - monthly
Rule 15c3-3(e) - weekly computations
Rule 15c3-3(e)(3) - daily computations
Rule 15c3-3(e)(3) - monthly
Rule 15c3-3(e)(3) - weekly
Rule 15c3-3(e)(3)(i)(B)(2) notification
Rule 15c3-3(e)(3)(v) notification
Rule 15c3-3(f) - notice
Rule 15c3-3(f) - obtain new letter
Rule 15c3-3(j)(1) - annual
Rule 15c3-3(j)(2) - annual
Rule 15c3-3(j)(2) - initial
Rule 15c3-3(o)(3)
Rule 15c3-3(p)(1) Special Accounts (One-Time)
Rule 15c3-3(p)(1) Special Accounts (Ongoing)
Rule 15c3-3(p)(3)(iii) - Customer Reserve Computation
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)
Rule 15c3-3(p)(4)(i) - Counterparty Notice (Ongoing)
Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- Entering into Agreements)
Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- New Account Relationships)
Rule 15c3-3(p)(4)(ii) (Subordination Agreements-- Preparing Standard Agreements)
Rules 15c3-3(o)(2)

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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	21,082,041	16,611,830	0	4,470,211	0	0
Annual Time Burden (Hours)	1,459,682	1,166,134	0	293,548	0	0
Annual Cost Burden (Dollars)	5,076,466	3,530,101	0	1,546,365	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 changes in estimated burden are primarily due to changes in the estimated number of respondents and adjustments for outside costs. The changes are 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]? 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: 09/25/2026

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