Rule 17a-13, Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers

Forms and Documents

Document Name	Status
20251118_3235-0035_2025-20181_90 FR 51802_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-11-18
20250813_3235-0035_2025-15312_90 FR 39020_60-Day Collection Notice.pdf Supplementary Document	2025-08-13
3235-0035 Supporting Statement (2025 Extension).pdf Supporting Statement A	2025-08-07

IC Document Collections

IC ID	Document Title	Status
34101	Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.	Modified

ICR Details

OMB Control No: 3235-0035	ICR Reference No: 202508-3235-002
Status: Received in OIRA	Previous ICR Reference No: 202208-3235-014
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-13, Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers
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	12/31/2025
Responses	3,342	3,532
Time Burden (Hours)	334,200	353,200
Cost Burden (Dollars)	0	0

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Abstract: Paragraph (b) of Rule 17a-13 (17 CFR 240.17a-3) generally requires that at least once each calendar quarter, all registered broker-dealers physically examine and count all securities held and account for all other securities not in their possession, but subject to the broker-dealer’s control or direction. Any discrepancies between the broker-dealer’s securities count and the firm’s records must be noted and, within seven days, the unaccounted for difference must be recorded in the firm’s records.  Paragraph (c) of Rule 17a-13 provides that under specified conditions, the securities count, examination, and verification of a broker-dealer’s entire list of securities may be conducted on a cyclical basis rather than on a certain date.  Although Rule 17a-13 does not require a broker-dealer to file a report with the Commission, discrepancies between a broker-dealer’s records and its securities count may be required to be reported, for example, as a loss on Form X-17A-5 (17 CFR 248.617), which must be filed with the Commission under Exchange Act Rule 17a-5.  Rule 17a-13 exempts broker-dealers that limit their business to the sale and redemption of securities of registered investment companies or interests or participation in an insurance company separate account and those who solicit accounts for federally insured savings and loan associations, provided that such persons promptly transmit all funds and securities and hold no customer funds and securities.  Rule 17a-13 also does not apply to certain broker-dealers required to register only because they effect transactions in securities futures products.  Rule 17a-13 requires the recording of only those differences in the broker-dealer’s records that remain unresolved seven business days after the date of the examination, count, and verification.  The Commission or the self-regulatory organization (“SRO”) designated as the broker-dealer’s examining authority may examine these recorded discrepancies in a broker-dealer’s records to determine whether they are the result of the firm’s inability to maintain control of its business.

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Authorizing Statute(s): US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w 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	08/13/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 51802	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: 1

IC Title	Form No.	Form Name
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

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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	3,342	3,532	0	-190	0	0
Annual Time Burden (Hours)	334,200	353,200	0	-19,000	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The estimated burden has decreased due to an decreased in the estimated number of respondents. The estimated burdens 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.     No

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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