Rule 17a-7; Records of non-resident brokers or dealers.

OMB 3235-0131

OMB 3235-0131

Rule 17a-7 was adopted in 1956, and requires non-resident brokers or dealers registered with the Securities Exchange Commission to make and keep copies of requisite books and records in the United States or to file an undertaking agreeing to make them available to the Commission upon request.

The latest form for Rule 17a-7; Records of non-resident brokers or dealers. expires 2022-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material
All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2019-08-06
Approved without change
Extension without change of a currently approved collection 2016-10-14
Approved without change
Extension without change of a currently approved collection 2013-11-13
Approved without change
Extension without change of a currently approved collection 2010-09-27
Approved with change
Revision of a currently approved collection 2007-10-17
Approved without change
Extension without change of a currently approved collection 2004-09-13
Approved without change
Extension without change of a currently approved collection 2001-08-13
Approved without change
Extension without change of a currently approved collection 1998-09-03
Approved without change
Extension without change of a currently approved collection 1995-07-20
Approved without change
Extension without change of a currently approved collection 1992-07-23
Approved without change
Extension without change of a currently approved collection 1989-10-23
Approved without change
Revision of a currently approved collection 1986-09-03
Approved without change
Extension without change of a currently approved collection 1984-09-05
Approved without change
New collection (Request for a new OMB Control Number) 1981-09-29

© 2021 OMB.report | Privacy Policy