Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board.

OMB 3235-0208

OMB 3235-0208

Rule 17a-1 requires that all national securities exchanges and associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of five, two years in an accessible place, all documents that they make or receive respecting their self-regulatory activities, and that such documents be made available for examination by the Commission.

The latest form for Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board. expires 2023-01-31 and can be found here.

OMB Details

Rule 17a-1: SRO's Required to Comply with Rule

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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