Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

OMB 3235-0133

OMB 3235-0133

Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary.

The latest form for Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members expires 2021-03-31 and can be found here.

All Historical Document Collections
Extension without change of a currently approved collection 2020-12-01
Approved without change
Extension without change of a currently approved collection 2018-02-15
Approved without change
Extension without change of a currently approved collection 2014-11-24
Approved without change
Extension without change of a currently approved collection 2011-09-21
Approved without change
Extension without change of a currently approved collection 2008-09-22
Approved without change
Extension without change of a currently approved collection 2005-09-07
Approved without change
Extension without change of a currently approved collection 2002-07-10
Approved without change
Extension without change of a currently approved collection 1999-08-24
Approved without change
Extension without change of a currently approved collection 1996-10-10
Approved without change
Extension without change of a currently approved collection 1993-08-10
Approved without change
Reinstatement with change of a previously approved collection 1991-01-23
Approved without change
Extension without change of a currently approved collection 1987-10-23
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) 1981-09-30

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