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

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 2023-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0201.pdf Supplementary Document
3235-0201.pdf Supplementary Document
DGL REVISED 2023 Rule 17a-2 Supporting Statement.pdf Supporting 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)

All Historical Document Collections

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