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

OMB 3235-0033

OMB 3235-0033

Rule 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. In connection with a new rulemaking in 2019 (new Rule 17a-14 and Form CRS, and Regulation Best Interest), the Commission amended Rule 17a-3 by adding new paragraphs (a)(24) and (a)(35). The Commission is adding the annual burden hours for new paragraphs (a)(24) and (a)(35) of Rule 17a-3 into this information collection.

The latest form for Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers expires 2022-12-31 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2019-10-29
Approved with change
Revision of a currently approved collection 2019-08-09
Comment filed on proposed rule and continue
Revision of a currently approved collection 2018-06-15
Approved without change
No material or nonsubstantive change to a currently approved collection 2017-03-09
Approved without change
Extension without change of a currently approved collection 2016-10-25
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-03-17
Approved without change
No material or nonsubstantive change to a currently approved collection 2013-11-04
Approved without change
Revision of a currently approved collection 2013-09-12
Approved without change
Extension without change of a currently approved collection 2011-03-28
Preapproved
Revision of a currently approved collection 2010-07-14
Approved without change
Revision of a currently approved collection 2007-11-27
Approved without change
Extension without change of a currently approved collection 2004-11-15
Approved without change
Revision of a currently approved collection 2001-11-28
Approved without change
Extension without change of a currently approved collection 1999-04-20
Comment filed on proposed rule and continue
Revision of a currently approved collection 1998-10-26
Withdrawn and continue
Extension without change of a currently approved collection 1998-10-07
Approved without change
Revision of a currently approved collection 1997-12-29
Comment filed on proposed rule and continue
Revision of a currently approved collection 1996-10-28
Approved without change
Extension without change of a currently approved collection 1995-07-20
Approved without change
Revision of a currently approved collection 1992-07-23
Approved without change
Reinstatement with change of a previously approved collection 1989-10-26
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-07
Approved without change
Revision of a currently approved collection 1986-09-15
Approved without change
Revision of a currently approved collection 1985-04-30
Approved without change
Revision of a currently approved collection 1983-06-29
Approved without change
Revision of a currently approved collection 1982-12-10
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-21
OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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