Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.

OMB 3235-0540

OMB 3235-0540

Rule 17a-25 sets forth the obligations of registered broker-dealers to submit securities trading data in electronic format upon request by the Commission for enforcement and other regulatory purposes.

The latest form for Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers. expires 2022-09-30 and can be found here.

OMB Details

Rule 17a-25: Electronic Reporting

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


© 2021 OMB.report | Privacy Policy