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⚠️ Notice: This information collection may be referencing outdated material.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
SEC SORN 42.pdf Enforcement Files 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: 76 FR 30213

Number of Respondents: 198	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	253,705	193,747	59,958
Annual IC Time Burden (Hours)	33,827	25,833	7,994
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
Enforcement Files	SEC SORN 42.pdf	05/17/2019

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