OMB control number
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 · SEC.
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 2026-12-31 and is listed under ICR 202307-3235-021.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form SEC 1414 Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members | Form and Instruction |
| 3235-0133.pdf | Supplementary Document |
| 3235-0133.pdf | Supplementary Document |
| Rule 17a-19 PRA Supporting Statement 2023 DGL REVISED.pdf | Supporting Statement A |
| 3235-0133 30 Day Notice.pdf | Supplementary Document |
| 3235-0133 60 day notice.pdf | Supplementary Document |
 Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members |
Form and Instruction |