2023 proposal to require filing Form X-17A-19 in EDGAR

Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0133 can be found here:

Documents and Forms

Document Name Document Type
Form SEC 1414 2023 proposal to require filing Form X-17A-19 in EDGAR Form and Instruction
SEC 1414 X-17A-19 Form X-17a-19 (2023 Proposed Revision).pdf Form and Instruction
SEC 1414 X-17A-19 Form X-17a-19 (2023 Proposed Revision).pdf Form and Instruction

Information Collection (IC) Details

IC Title:	2023 proposal to require filing Form X-17A-19 in EDGAR	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 249.635 17 CFR 240.17a-19

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 1414	X-17A-19	Form X-17a-19 (2023 Proposed Revision).pdf		Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 25	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	25	25
Annual IC Time Burden (Hours)	133	133
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

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