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Federal forms, ICRs, and supporting documents

OMB control number

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

OMB 3235-0279 · SEC.

OMB 3235-0279

Rule 17a-4, 17 CFR 240.17a-4, requires certain records to be maintained by certain exchange members, registered brokers and dealers, and other respondents. The collection of information helps ensure that respondents are in compliance with certain laws, rules, and regulations.

The latest form for Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers expires 2029-01-31 and is listed under ICR 202509-3235-010.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20251204_3235-0279_2025-21924_90 FR 55945_30-Day Submission Notice.pdf.pdfSupplementary Document
20251204_3235-0279_2025-21924_90 FR 55945_30-Day Submission Notice.pdf.pdf Supplementary Document
20250929_3235-0279_2025-18877_90 FR 46701_60-Day Collection Notice.pdfSupplementary Document
3235-0279 Supporting Statement (2025 Extension).pdfSupporting Statement A
3235-0279 Supporting Statement (2025 Extension).pdfSupporting Statement A
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers Information collection
Rule 17a-4(b)(1), (e)(11), (e)(12) - Ongoing burden Information collection
Broker-Dealer SBSDs Only-- Ongoing Burden Information collection
Broker-Dealer SBSDs and Broker-Dealer MSBSPs-- Ongoing burden Information collection
Security-Based Swap Activities-- Ongoing burden Information collection
Telephonic Communications-- Ongoing burden Information collection
Rule 17a-4(b)(1), (e)(11), (e)(12) - Initial burden Information collection
Alternative undertaking - Cloud Service Providers Information collection
Alternative undertaking - Broker-dealers Information collection
17a-4(f) - Backup Systems or Redundant Equivalency for Small BDs (Annual) Information collection
17a-4(f) - Backup Systems or Redundant Equivalency Information collection
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Initial Annualized) Information collection
17a-4(f) - Backup Systems or Redundant Equivalency for Large BDs (Annual) Information collection
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Initial Annualized) Information collection
17a-4(f) - Audit Trail Alternative to WORM for Small Broker-Dealers (Annual) Information collection
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Initial Annualized) Information collection
17a-4(f) Audit trail alternative to WORM for Large Broker-Dealers (Annual) Information collection
Third Party or Designated Executive Officer Undertaking Information collection
Broker-Dealer SBSDs Only-- Initial Burden Information collection
Broker-Dealer SBSDs and Broker-Dealer MSBSPs-- Initial burden Information collection
Security-Based Swap Activities-- Initial burden Information collection
Telephonic Communications-- Initial burden Information collection
Rule 17a-4(e)(10), Maintenance of Records in Connection with Rule 17a-14 and Form CRS Information collection
Rule 17a-4(e)(5), Ongoing Recordkeeping in Connection with Regulation Best Interest Information collection
Rule 17a-4(e)(5), New or Modified Documents Being Added to a Record Retention System in Connection with Regulation BI Information collection
Rule 17a-4(b)(11) Record preservation requirements Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202509-3235-010 Extension without change of a currently approved collection 2025-12-04 Approved without change
202403-3235-006 Revision of a currently approved collection 2024-03-29 Comment filed on proposed rule and continue
202401-3235-010 Revision of a currently approved collection 2024-01-17 Comment filed on proposed rule and continue
202311-3235-022 Revision of a currently approved collection 2023-11-17 Comment filed on proposed rule and continue
202301-3235-027 Revision of a currently approved collection 2023-02-09 Approved with change
202208-3235-025 Extension without change of a currently approved collection 2022-11-08 Approved without change
202205-3235-049 Revision of a currently approved collection 2022-06-29 Comment filed on proposed rule and continue
202107-3235-021 Revision of a currently approved collection 2021-07-30 Approved with change
201910-3235-004 Extension without change of a currently approved collection 2019-10-22 Approved without change
201908-3235-003 Revision of a currently approved collection 2019-08-09 Approved with change
201806-3235-013 Revision of a currently approved collection 2018-06-15 Comment filed on proposed rule and continue
201607-3235-007 Extension without change of a currently approved collection 2016-10-19 Approved without change
201603-3235-006 Revision of a currently approved collection 2016-03-17 Comment filed on proposed rule and continue
201311-3235-003 No material or nonsubstantive change to a currently approved collection 2013-11-04 Approved without change
201309-3235-003 Revision of a currently approved collection 2013-09-12 Approved without change
201102-3235-016 Extension without change of a currently approved collection 2011-03-18 Approved without change
201007-3235-002 Revision of a currently approved collection 2010-07-14 Preapproved
200712-3235-002 Revision of a currently approved collection 2008-02-15 Approved without change
200502-3235-001 Extension without change of a currently approved collection 2005-02-03 Approved without change
200405-3235-011 No material or nonsubstantive change to a currently approved collection 2004-05-17 Approved without change
200201-3235-013 Revision of a currently approved collection 2002-01-23 Approved without change
200111-3235-001 Revision of a currently approved collection 2001-11-06 Approved without change
200104-3235-003 Revision of a currently approved collection 2001-04-16 Approved without change
199810-3235-010 Revision of a currently approved collection 1998-10-26 Comment filed on proposed rule and continue
199712-3235-016 No material or nonsubstantive change to a currently approved collection 1997-12-29 Approved without change
199703-3235-003 Revision of a currently approved collection 1997-03-03 Approved without change
199610-3235-019 Revision of a currently approved collection 1996-10-28 Comment filed on proposed rule and continue
199605-3235-023 Extension without change of a currently approved collection 1996-05-31 Approved without change
199308-3235-001 Revision of a currently approved collection 1993-08-10 Approved without change
199207-3235-034 Revision of a currently approved collection 1992-07-23 Approved without change
198910-3235-018 Reinstatement with change of a previously approved collection 1989-10-26 Approved without change
198908-3235-023 No material or nonsubstantive change to a currently approved collection 1989-08-03 Approved with change
198906-3235-008 No material or nonsubstantive change to a currently approved collection 1989-06-26 Approved with change
198906-3235-003 No material or nonsubstantive change to a currently approved collection 1989-06-01 Approved with change
198608-3235-004 Revision of a currently approved collection 1986-08-14 Approved without change
198308-3235-001 Revision of a currently approved collection 1983-08-08 Approved without change
198211-3235-017 New collection (Request for a new OMB Control Number) 1982-11-16 Approved without change

OMB Details

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight