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

OMB 3235-0085

OMB 3235-0085

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

The latest form for Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers expires 2023-12-31 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-10-28
Approved without change
Extension without change of a currently approved collection 2017-07-28
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-08-23
Approved without change
Reinstatement with change of a previously approved collection 2014-06-30
Withdrawn
Revision of a currently approved collection 2013-10-30
Approved without change
Revision of a currently approved collection 2013-09-12
Approved without change
Extension without change of a currently approved collection 2012-06-29
Comment filed on proposed rule and continue
Revision of a currently approved collection 2011-12-13
Comment filed on proposed rule and continue
Revision of a currently approved collection 2010-07-14
Approved without change
Extension without change of a currently approved collection 2009-08-19
Preapproved
Revision of a currently approved collection 2007-01-03
Approved without change
Extension without change of a currently approved collection 2006-10-05
Approved without change
Revision of a currently approved collection 2003-10-30
Approved without change
Extension without change of a currently approved collection 2002-06-04
Approved without change
Extension without change of a currently approved collection 1999-06-08
Approved without change
No material or nonsubstantive change to a currently approved collection 1997-12-29
Approved without change
Extension without change of a currently approved collection 1996-06-13
Approved without change
Revision of a currently approved collection 1993-07-12
Withdrawn and continue
Revision of a currently approved collection 1993-02-02
Approved without change
Extension without change of a currently approved collection 1990-10-09
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-06
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-03
Approved without change
Extension without change of a currently approved collection 1987-09-29
Approved without change
Extension without change of a currently approved collection 1984-08-07
Approved without change
New collection (Request for a new OMB Control Number) 1981-08-25
OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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