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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0208.pdf Supplementary Document
3235-0208.pdf Supplementary Document
3235-0208 30 Day Notice.pdf Supplementary Document
3235-0208 60 Day Notice.pdf Supplementary Document
Rule 17a-1 30 day notice (2019).docx Supplementary Document
Rule 17a-1 60 Day Notice (2019).doc Supplementary Document
Rule 17a-1 Justification (2022).pdf Supporting Statement A
Rule 17a-1: SRO's Required to Comply with Rule
Rule 17a-1: Notice-Registered National Securities Exchanges

All Historical Document Collections

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

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight