OMB control number

Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers

OMB 3235-0085 · SEC.

OMB 3235-0085

Rule 17a-11 was adopted in 1971 to provide advance warning and information regarding brokers and dealers that are experiencing financial or operational difficulties. Partial Revision-- the Commission revised this collection of information in connection with a 2019 rulemaking that amended several Commission rules. Although the amendments were adopted in 2019, they are not required to be complied with until October 6, 2021. The amendments, which established recordkeeping requirements for broker-dealers' security-based swap activities, resulted in new estimates to this collection of information.

The latest form for Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers expires 2026-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0085.pdf Supplementary Document
3235-0085.pdf Supplementary Document
Rule 17a-11 Supporting Statement 2023 DGL REVISED.pdf Supporting Statement A
3235-0085 30 Day Notice.pdf Supplementary Document
3235-0085 60 Day Notice.pdf Supplementary Document
Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers
Rule 17a-11(g) – Notices Filed by National Securities Exchanges and Associations with respect to Paragraph (f) of Rule 17a-11
Rule 17a-11(f) – Notice of Failure to Deposit in Rule 15c3-3(p) Account
Rule 17a-11(b)(5) - Monthly Stock Loan/Borrow Reports
Rule 17a-11(g) - Notices Filed by National Securities Exchanges and Associations with respect to Paragraphs (a)-(e) of Rule 17a-11

All Historical Document Collections

202307-3235-026 Approved without change	Extension without change of a currently approved collection	2023-10-16
202107-3235-023 Approved with change	Revision of a currently approved collection	2021-07-30
202007-3235-019 Approved without change	Extension without change of a currently approved collection	2020-10-28
201705-3235-006 Approved without change	Extension without change of a currently approved collection	2017-07-28
201608-3235-004 Comment filed on proposed rule and continue	Revision of a currently approved collection	2016-08-23
201406-3235-016 Approved without change	Reinstatement with change of a previously approved collection	2014-06-30
201310-3235-016 Withdrawn	Revision of a currently approved collection	2013-10-30
201309-3235-001 Approved without change	Revision of a currently approved collection	2013-09-12
201204-3235-017 Approved without change	Extension without change of a currently approved collection	2012-06-29
201111-3235-035 Comment filed on proposed rule and continue	Revision of a currently approved collection	2011-12-13
201006-3235-010 Comment filed on proposed rule and continue	Revision of a currently approved collection	2010-07-14
200906-3235-008 Approved without change	Extension without change of a currently approved collection	2009-08-19
200612-3235-005 Preapproved	Revision of a currently approved collection	2007-01-03
200609-3235-042 Approved without change	Extension without change of a currently approved collection	2006-10-05
200310-3235-030 Approved without change	Revision of a currently approved collection	2003-10-30
200206-3235-002 Approved without change	Extension without change of a currently approved collection	2002-06-04
199906-3235-003 Approved without change	Extension without change of a currently approved collection	1999-06-08
199712-3235-017 Approved without change	No material or nonsubstantive change to a currently approved collection	1997-12-29
199606-3235-002 Approved without change	Extension without change of a currently approved collection	1996-06-13
199307-3235-005 Approved without change	Revision of a currently approved collection	1993-07-12
199302-3235-028 Withdrawn and continue	Revision of a currently approved collection	1993-02-02
199010-3235-013 Approved without change	Extension without change of a currently approved collection	1990-10-09
198904-3235-017 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-06
198904-3235-006 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-03
198709-3235-006 Approved without change	Extension without change of a currently approved collection	1987-09-29
198408-3235-001 Approved without change	Extension without change of a currently approved collection	1984-08-07
198108-3235-033 Approved without change	New collection (Request for a new OMB Control Number)	1981-08-25

OMB Details

Rule 17a-11(a)-(e) Notification Provisions for Broker-Dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight