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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 ยท 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 can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
 Extension without change of a currently approved collection 2025-12-04
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2024-03-29
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2024-01-17
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-11-17
Approved with change
 Revision of a currently approved collection 2023-02-09
Approved without change
 Extension without change of a currently approved collection 2022-11-08
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2022-06-29
Approved with change
 Revision of a currently approved collection 2021-07-30
Approved without change
 Extension without change of a currently approved collection 2019-10-22
Approved with change
 Revision of a currently approved collection 2019-08-09
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2018-06-15
Approved without change
 Extension without change of a currently approved collection 2016-10-19
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2016-03-17
Approved without change
 No material or nonsubstantive change to a currently approved collection 2013-11-04
Approved without change
 Revision of a currently approved collection 2013-09-12
Approved without change
 Extension without change of a currently approved collection 2011-03-18
Preapproved
 Revision of a currently approved collection 2010-07-14
Approved without change
 Revision of a currently approved collection 2008-02-15
Approved without change
 Extension without change of a currently approved collection 2005-02-03
Approved without change
 No material or nonsubstantive change to a currently approved collection 2004-05-17
Approved without change
 Revision of a currently approved collection 2002-01-23
Approved without change
 Revision of a currently approved collection 2001-11-06
Approved without change
 Revision of a currently approved collection 2001-04-16
Comment filed on proposed rule and continue
 Revision of a currently approved collection 1998-10-26
Approved without change
 No material or nonsubstantive change to a currently approved collection 1997-12-29
Approved without change
 Revision of a currently approved collection 1997-03-03
Comment filed on proposed rule and continue
 Revision of a currently approved collection 1996-10-28
Approved without change
 Extension without change of a currently approved collection 1996-05-31
Approved without change
 Revision of a currently approved collection 1993-08-10
Approved without change
 Revision of a currently approved collection 1992-07-23
Approved without change
 Reinstatement with change of a previously approved collection 1989-10-26
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-08-03
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-06-26
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-06-01
Approved without change
 Revision of a currently approved collection 1986-08-14
Approved without change
 Revision of a currently approved collection 1983-08-08
Approved without change
 New collection (Request for a new OMB Control Number) 1982-11-16
OMB Details

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

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