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Federal forms, ICRs, and supporting documents

OMB control number

Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

OMB 3235-0033 · SEC.

OMB 3235-0033

Rule 17a-3, 17 CFR 240.17a-3, requires certain records to be made by certain exchange members and registered brokers and dealers. The rule serves to standardize prudent business practices. Among other things, these records are essential for regulatory purposes including examinations, investigations, and enforcement proceedings, which are significant customer protection safeguards.

The latest form for Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers expires 2029-01-31 and is listed under ICR 202507-3235-017.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20251118_3235-0033_2025-20180_90 FR 51799_30-Day Submission Notice.pdf.pdfSupplementary Document
20251118_3235-0033_2025-20180_90 FR 51799_30-Day Submission Notice.pdf.pdf Supplementary Document
20250730_3235-0033_2025-14351_90 FR 35949_60-Day Collection Notice.pdfSupplementary Document
20250730_3235-0033_2025-14351_90 FR 35949_60-Day Collection Notice.pdf Supplementary Document
3235-0033 Supporting Statement (2025 Extension).pdfSupporting Statement A
3235-0033 Supporting Statement (2025 Extension).pdfSupporting Statement A
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers Information collection
Broker-dealer SBSDs only: Paragraph (a)(29) Information collection
Broker-dealer SBSDs and broker-dealer MSBSPs: Paragraphs (a)(25), (a)(28), and (a)(30) Information collection
Security-based swap activities: Paragraphs (a)(1), (a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), (a)(26), and (a)(27) Information collection
17a-3(a)(35) Record of Oral Disclosure Information collection
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Individual Burden Information collection
Rule 17a-3(35) Record of Identity of Associate Person Responsible for Account/Firm Burden- Small Broker-Dealers Information collection
Rule 17a-3(35) Record of Identity of Associate Person Responsible For Account- Large Broker-Dealers Information collection
Rule 17a-3(24), Record of Date Form CRS Provided to Each Customer and Prospective Customer Information collection
Ongoing cost for equipment & systems development Information collection
Rule 17a-3(a)(17) - providing updated information to customers Information collection
Rule 17a-3(a)(17)(i)(B(2) + (3) - Small BD Information collection
Rule 17a-3(a)(17)(i)(B)(2) + (3) - Large BD Information collection
Rule 17a-3(a)(17)(i)(B(1) - Small BD Information collection
Rule 17a-3(a)(16) Information collection
Rule 17a-3(a)(23) Part II Information collection
Rule 17a-3(a)(23) Part I Information collection
Rule 17a-3(a)(17)(i)(B)(1) - Large BD Information collection
Rule 17a-3(a)(20-22) Information collection
Rule 17a-3(a)(12, 19) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202507-3235-017 Extension without change of a currently approved collection 2025-11-18
202312-3235-016 Revision of a currently approved collection 2023-12-21 Comment filed on proposed rule and continue
202204-3235-004 Extension without change of a currently approved collection 2022-10-08 Approved without change
202107-3235-019 Revision of a currently approved collection 2021-07-30 Approved without change
201910-3235-003 Extension without change of a currently approved collection 2019-10-29 Approved without change
201907-3235-045 Revision of a currently approved collection 2019-08-09 Approved with change
201806-3235-010 Revision of a currently approved collection 2018-06-15 Comment filed on proposed rule and continue
201703-3235-003 No material or nonsubstantive change to a currently approved collection 2017-03-09 Approved without change
201606-3235-013 Extension without change of a currently approved collection 2016-10-25 Approved without change
201603-3235-004 Revision of a currently approved collection 2016-03-17 Comment filed on proposed rule and continue
201311-3235-002 No material or nonsubstantive change to a currently approved collection 2013-11-04 Approved without change
201309-3235-004 Revision of a currently approved collection 2013-09-12 Approved without change
201102-3235-019 Extension without change of a currently approved collection 2011-03-28 Approved without change
201007-3235-001 Revision of a currently approved collection 2010-07-14 Preapproved
200709-3235-017 Revision of a currently approved collection 2007-11-27 Approved without change
200411-3235-008 Extension without change of a currently approved collection 2004-11-15 Approved without change
200111-3235-017 Revision of a currently approved collection 2001-11-28 Approved without change
199904-3235-015 Extension without change of a currently approved collection 1999-04-20 Approved without change
199810-3235-009 Revision of a currently approved collection 1998-10-26 Comment filed on proposed rule and continue
199810-3235-004 Extension without change of a currently approved collection 1998-10-07 Withdrawn and continue
199712-3235-007 Revision of a currently approved collection 1997-12-29 Approved without change
199610-3235-020 Revision of a currently approved collection 1996-10-28 Comment filed on proposed rule and continue
199507-3235-031 Extension without change of a currently approved collection 1995-07-20 Approved without change
199207-3235-028 Revision of a currently approved collection 1992-07-23 Approved without change
198910-3235-019 Reinstatement with change of a previously approved collection 1989-10-26 Approved without change
198904-3235-022 No material or nonsubstantive change to a currently approved collection 1989-04-07 Approved with change
198609-3235-005 Revision of a currently approved collection 1986-09-15 Approved without change
198504-3235-001 Revision of a currently approved collection 1985-04-30 Approved without change
198306-3235-012 Revision of a currently approved collection 1983-06-29 Approved without change
198212-3235-001 Revision of a currently approved collection 1982-12-10 Approved without change
198107-3235-012 New collection (Request for a new OMB Control Number) 1981-07-21 Approved without change

OMB Details

Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight