Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

Rule 17a-3 requires certain records to be made by certain exchange members and registered brokers and dealers. The rule serves to standardize prudent business practices. Among other things, these records are essential for regulatory purposes including examinations, investigations, and enforcement proceedings, which are significant customer protection safeguards. In connection with a new rulemaking in 2019 (new Rule 17a-14 and Form CRS, and Regulation Best Interest), the Commission amended Rule 17a-3 by adding new paragraphs (a)(24) and (a)(35). The Commission is adding the annual burden hours for new paragraphs (a)(24) and (a)(35) of Rule 17a-3 into this information collection.

The latest form for Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers expires 2022-12-31 and can be found here.

Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight