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Federal forms, ICRs, and supporting documents

OMB control number

Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)

OMB 3235-0201 · SEC.

OMB 3235-0201

The syndicate manager in an offering of securities must collect and retain information regarding stabilizing transactions, syndicate covering transactions, and penalty bids. The Commission does not receive such information and uses it only upon request pursuant to an investigation.

The latest form for Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities) expires 2029-07-31 and is listed under ICR 202603-3235-009.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0201.pdf Supplementary Document
3235-0201.pdf Supplementary Document
DGL REVISED 2023 Rule 17a-2 Supporting Statement.pdfSupporting Statement A
3235-0201 30 Day Notice.pdf Supplementary Document
3235-0201 60 Day Notice.pdf Supplementary Document
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202302-3235-004 Extension without change of a currently approved collection 2023-04-22 Approved without change
202003-3235-011 Extension without change of a currently approved collection 2020-06-09 Approved without change
201703-3235-001 Extension without change of a currently approved collection 2017-07-11 Approved without change
201311-3235-005 Extension without change of a currently approved collection 2014-06-10 Approved without change
201102-3235-020 Extension without change of a currently approved collection 2011-05-12 Approved without change
200802-3235-002 Extension without change of a currently approved collection 2008-05-07 Approved without change
200506-3235-013 Extension without change of a currently approved collection 2005-06-08 Approved without change
200204-3235-001 Extension without change of a currently approved collection 2002-04-17 Approved without change
199904-3235-005 Extension without change of a currently approved collection 1999-04-12 Approved without change
199605-3235-015 Revision of a currently approved collection 1996-05-15 Approved without change
199507-3235-034 Extension without change of a currently approved collection 1995-07-20 Approved without change
199209-3235-008 Revision of a currently approved collection 1992-09-24 Approved without change
198910-3235-017 Revision of a currently approved collection 1989-10-23 Approved without change
198611-3235-001 Revision of a currently approved collection 1986-11-05 Approved without change
198312-3235-001 Reinstatement with change of a previously approved collection 1983-12-02 Approved without change
198208-3235-001 Revision of a currently approved collection 1982-08-25 Approved without change
198207-3235-004 Extension without change of a currently approved collection 1982-07-27 Approved without change
198110-3235-059 New collection (Request for a new OMB Control Number) 1981-10-30 Approved without change