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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0085.pdf Supplementary Document
3235-0085.pdf Supplementary Document
Rule 17a-11 Supporting Statement 2023 DGL REVISED.pdf Supporting Statement A
3235-0085 30 Day Notice.pdf Supplementary Document
3235-0085 60 Day Notice.pdf Supplementary Document
Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers
Rule 17a-11(g) – Notices Filed by National Securities Exchanges and Associations with respect to Paragraph (f) of Rule 17a-11
Rule 17a-11(f) – Notice of Failure to Deposit in Rule 15c3-3(p) Account
Rule 17a-11(b)(5) - Monthly Stock Loan/Borrow Reports
Rule 17a-11(g) - Notices Filed by National Securities Exchanges and Associations with respect to Paragraphs (a)-(e) of Rule 17a-11

All Historical Document Collections

202307-3235-026 Approved without change	Extension without change of a currently approved collection	2023-10-16
202107-3235-023 Approved with change	Revision of a currently approved collection	2021-07-30
202007-3235-019 Approved without change	Extension without change of a currently approved collection	2020-10-28
201705-3235-006 Approved without change	Extension without change of a currently approved collection	2017-07-28
201608-3235-004 Comment filed on proposed rule and continue	Revision of a currently approved collection	2016-08-23
201406-3235-016 Approved without change	Reinstatement with change of a previously approved collection	2014-06-30
201310-3235-016 Withdrawn	Revision of a currently approved collection	2013-10-30
201309-3235-001 Approved without change	Revision of a currently approved collection	2013-09-12
201204-3235-017 Approved without change	Extension without change of a currently approved collection	2012-06-29
201111-3235-035 Comment filed on proposed rule and continue	Revision of a currently approved collection	2011-12-13
201006-3235-010 Comment filed on proposed rule and continue	Revision of a currently approved collection	2010-07-14
200906-3235-008 Approved without change	Extension without change of a currently approved collection	2009-08-19
200612-3235-005 Preapproved	Revision of a currently approved collection	2007-01-03
200609-3235-042 Approved without change	Extension without change of a currently approved collection	2006-10-05
200310-3235-030 Approved without change	Revision of a currently approved collection	2003-10-30
200206-3235-002 Approved without change	Extension without change of a currently approved collection	2002-06-04
199906-3235-003 Approved without change	Extension without change of a currently approved collection	1999-06-08
199712-3235-017 Approved without change	No material or nonsubstantive change to a currently approved collection	1997-12-29
199606-3235-002 Approved without change	Extension without change of a currently approved collection	1996-06-13
199307-3235-005 Approved without change	Revision of a currently approved collection	1993-07-12
199302-3235-028 Withdrawn and continue	Revision of a currently approved collection	1993-02-02
199010-3235-013 Approved without change	Extension without change of a currently approved collection	1990-10-09
198904-3235-017 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-06
198904-3235-006 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-03
198709-3235-006 Approved without change	Extension without change of a currently approved collection	1987-09-29
198408-3235-001 Approved without change	Extension without change of a currently approved collection	1984-08-07
198108-3235-033 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.

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