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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0085 · SEC.

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. Partial Revision-- the Commission revised this collection of information in connection with a 2019 rulemaking that amended several Commission rules. Although the amendments were adopted in 2019, they are not required to be complied with until October 6, 2021. The amendments, which established recordkeeping requirements for broker-dealers' security-based swap activities, resulted in new estimates to this collection of information.

The latest form for Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers expires 2026-12-31 and is listed under ICR 202307-3235-026.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0085.pdf Supplementary Document
3235-0085.pdf Supplementary Document
Rule 17a-11 Supporting Statement 2023 DGL REVISED.pdfSupporting 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 Information collection
Rule 17a-11(g) – Notices Filed by National Securities Exchanges and Associations with respect to Paragraph (f) of Rule 17a-11 Information collection
Rule 17a-11(f) – Notice of Failure to Deposit in Rule 15c3-3(p) Account Information collection
Rule 17a-11(b)(5) - Monthly Stock Loan/Borrow Reports Information collection
Rule 17a-11(g) - Notices Filed by National Securities Exchanges and Associations with respect to Paragraphs (a)-(e) of Rule 17a-11 Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202307-3235-026 Extension without change of a currently approved collection 2023-10-16 Approved without change
202107-3235-023 Revision of a currently approved collection 2021-07-30 Approved with change
202007-3235-019 Extension without change of a currently approved collection 2020-10-28 Approved without change
201705-3235-006 Extension without change of a currently approved collection 2017-07-28 Approved without change
201608-3235-004 Revision of a currently approved collection 2016-08-23 Comment filed on proposed rule and continue
201406-3235-016 Reinstatement with change of a previously approved collection 2014-06-30 Approved without change
201310-3235-016 Revision of a currently approved collection 2013-10-30 Withdrawn
201309-3235-001 Revision of a currently approved collection 2013-09-12 Approved without change
201204-3235-017 Extension without change of a currently approved collection 2012-06-29 Approved without change
201111-3235-035 Revision of a currently approved collection 2011-12-13 Comment filed on proposed rule and continue
201006-3235-010 Revision of a currently approved collection 2010-07-14 Comment filed on proposed rule and continue
200906-3235-008 Extension without change of a currently approved collection 2009-08-19 Approved without change
200612-3235-005 Revision of a currently approved collection 2007-01-03 Preapproved
200609-3235-042 Extension without change of a currently approved collection 2006-10-05 Approved without change
200310-3235-030 Revision of a currently approved collection 2003-10-30 Approved without change
200206-3235-002 Extension without change of a currently approved collection 2002-06-04 Approved without change
199906-3235-003 Extension without change of a currently approved collection 1999-06-08 Approved without change
199712-3235-017 No material or nonsubstantive change to a currently approved collection 1997-12-29 Approved without change
199606-3235-002 Extension without change of a currently approved collection 1996-06-13 Approved without change
199307-3235-005 Revision of a currently approved collection 1993-07-12 Approved without change
199302-3235-028 Revision of a currently approved collection 1993-02-02 Withdrawn and continue
199010-3235-013 Extension without change of a currently approved collection 1990-10-09 Approved without change
198904-3235-017 No material or nonsubstantive change to a currently approved collection 1989-04-06 Approved with change
198904-3235-006 No material or nonsubstantive change to a currently approved collection 1989-04-03 Approved with change
198709-3235-006 Extension without change of a currently approved collection 1987-09-29 Approved without change
198408-3235-001 Extension without change of a currently approved collection 1984-08-07 Approved without change
198108-3235-033 New collection (Request for a new OMB Control Number) 1981-08-25 Approved without change

OMB Details

Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight