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

Forms and Documents

Document Name	Status
20251118_3235-0208_2025-20182_90 FR 51798_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-11-18
20250728_3235-0208_2025-14205_90 FR 35563_60-Day Collection Notice.pdf Supplementary Document	2025-07-28
3235-0208 Supporting Statement (2025 Extension).pdf Supporting Statement A	2025-07-24

IC Document Collections

IC ID	Document Title	Status
34581	Rule 17a-1: SRO's Required to Comply with Rule	Modified
193711	Rule 17a-1: Notice-Registered National Securities Exchanges	Modified

ICR Details

OMB Control No: 3235-0208	ICR Reference No: 202507-3235-021
Status: Received in OIRA	Previous ICR Reference No: 202208-3235-013
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-1, Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/18/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2025
Responses	41	39
Time Burden (Hours)	1,979	1,824
Cost Burden (Dollars)	0	0

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Abstract: 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.

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Authorizing Statute(s): US Code: 15 USC 78q(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 39020	07/28/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 51798	11/18/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Rule 17a-1: SRO's Required to Comply with Rule
Rule 17a-1: Notice-Registered National Securities Exchanges

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	41	39	0	2	0	0
Annual Time Burden (Hours)	1,979	1,824	0	155	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The estimated burdens have changed due to a change in the estimated number of respondents. The estimates are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/18/2025

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