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

OMB 3235-0201

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.

All Historical Document Collections
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Extension without change of a currently approved collection 2020-06-09
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Extension without change of a currently approved collection 2017-07-11
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Extension without change of a currently approved collection 2014-06-10
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Extension without change of a currently approved collection 2011-05-12
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Extension without change of a currently approved collection 2008-05-07
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Extension without change of a currently approved collection 2005-06-08
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Extension without change of a currently approved collection 2002-04-17
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Extension without change of a currently approved collection 1999-04-12
Approved without change
Revision of a currently approved collection 1996-05-15
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Extension without change of a currently approved collection 1995-07-20
Approved without change
Revision of a currently approved collection 1992-09-24
Approved without change
Revision of a currently approved collection 1989-10-23
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Revision of a currently approved collection 1986-11-05
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Reinstatement with change of a previously approved collection 1983-12-02
Approved without change
Revision of a currently approved collection 1982-08-25
Approved without change
Extension without change of a currently approved collection 1982-07-27
Approved without change
New collection (Request for a new OMB Control Number) 1981-10-30

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