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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0208 · SEC.

OMB 3235-0208

Rule 17a-1, 17 CFR 240.17a-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 2029-01-31 and is listed under ICR 202507-3235-021.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20251118_3235-0208_2025-20182_90 FR 51798_30-Day Submission Notice.pdf.pdfSupplementary Document
20251118_3235-0208_2025-20182_90 FR 51798_30-Day Submission Notice.pdf.pdf Supplementary Document
20250728_3235-0208_2025-14205_90 FR 35563_60-Day Collection Notice.pdfSupplementary Document
20250728_3235-0208_2025-14205_90 FR 35563_60-Day Collection Notice.pdf Supplementary Document
3235-0208 Supporting Statement (2025 Extension).pdfSupporting Statement A
3235-0208 Supporting Statement (2025 Extension).pdfSupporting Statement A
Rule 17a-1: SRO's Required to Comply with Rule Information collection
Rule 17a-1: Notice-Registered National Securities Exchanges Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202507-3235-021 Extension without change of a currently approved collection 2025-11-18
202208-3235-013 Extension without change of a currently approved collection 2022-10-28 Approved without change
201907-3235-026 Extension without change of a currently approved collection 2019-11-13 Approved without change
201606-3235-008 Extension without change of a currently approved collection 2016-10-12 Approved without change
201307-3235-021 Extension without change of a currently approved collection 2013-10-22 Approved without change
201007-3235-003 Extension without change of a currently approved collection 2010-09-20 Approved without change
200706-3235-005 Revision of a currently approved collection 2007-08-29 Approved without change
200409-3235-008 Extension without change of a currently approved collection 2004-09-23 Approved without change
200106-3235-001 Revision of a currently approved collection 2001-06-01 Approved without change
199807-3235-004 Extension without change of a currently approved collection 1998-07-14 Approved without change
199507-3235-027 Extension without change of a currently approved collection 1995-07-20 Approved without change
199207-3235-033 Revision of a currently approved collection 1992-07-23 Approved without change
198910-3235-015 Revision of a currently approved collection 1989-10-23 Approved without change
198609-3235-003 Revision of a currently approved collection 1986-09-08 Approved without change
198308-3235-002 Revision of a currently approved collection 1983-08-08 Approved without change
198111-3235-005 New collection (Request for a new OMB Control Number) 1981-11-02 Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight