Rule 17a-25: Electronic Reporting

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0540 can be found here:

Documents and Forms

Document Name Document Type
secsorn42.pdf SEC SORN 42 IC Document

Information Collection (IC) Details

IC Title:	Rule 17a-25: Electronic Reporting	Agency IC Tracking Number:	270-482

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-25

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: Enforcement Files.	FR Citation: 67 FR 48497

Number of Respondents: 56	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 99 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	59,958	-27,495	87,453
Annual IC Time Burden (Hours)	7,994	-3,666	11,660
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
SEC SORN 42	secsorn42.pdf	02/22/2016

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.