OMB control number

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

OMB 3235-0540 · SEC.

OMB 3235-0540

Rule 17a-25(a)(1) requires broker-dealers registered with the Commission to electronically submit securities transaction information, including identifiers for prime brokerage arrangements, average price accounts, and depository institutions, in a standardized format when requested by the Commission staff. In addition, Rule 17a-25(c) requires broker-dealers to submit, and keep current, contact person information for electronic blue sheets requests. The Commission uses the information for enforcement inquiries or investigations and trading reconstructions, as well as for inspections and examinations. Therefore, Rule 17a-25 (17 CFR 240.17a-25) is a reporting requirement.

The latest form for Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers expires 2028-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
20250905_3235-0540_2025-17027_90 FR 43014_30-Day Submission Notice.pdf.pdf Supplementary Document
2025 05 21_90 FR 21814_3235-0540_60-Day Collection Notice.pdf Supplementary Document
2025 17a-25 Supporting Statement.pdf Supporting Statement A
Rule 17a-25: Electronic Reporting
Rule 17a-25: Manual Reporting

All Historical Document Collections

202504-3235-024	Extension without change of a currently approved collection	2025-09-05
202205-3235-014 Approved without change	Extension without change of a currently approved collection	2022-08-16
201904-3235-005 Approved with change	Extension without change of a currently approved collection	2019-05-17
201512-3235-012 Approved without change	Extension without change of a currently approved collection	2016-02-22
201209-3235-005 Approved with change	Extension without change of a currently approved collection	2013-01-07
200909-3235-012 Approved without change	Extension without change of a currently approved collection	2009-12-14
200610-3235-002 Approved without change	Extension without change of a currently approved collection	2006-10-11
200307-3235-003 Approved without change	Reinstatement with change of a previously approved collection	2003-07-14
200005-3235-002 Approved without change	New collection (Request for a new OMB Control Number)	2000-05-05

OMB Details

Rule 17a-25: Electronic Reporting

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight