Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

OMB 3235-0035

Rule 17a-13 was adopted in 1971 to ensure that brokers and dealers posses or control securities as indicated in their records and that they know the location of those securities which they are to receive or deliver. Any differences must be reported in the broker's or dealer's records.

The latest form for Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers. expires 2023-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0035.pdf Supplementary Document
3235-0035.pdf Supplementary Document
DGL REVISED 2023 Rule 17a-13 Supporting Statement.pdf Supporting Statement A
3235-0035 30 Day Notice.pdf Supplementary Document
3235-0035 60 day notice.pdf Supplementary Document
Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

All Historical Document Collections

202208-3235-014 Approved without change	Extension without change of a currently approved collection	2022-10-31
201908-3235-022 Approved without change	Extension without change of a currently approved collection	2019-12-05
201611-3235-039 Approved without change	Extension without change of a currently approved collection	2017-02-28
201312-3235-004 Approved without change	Extension without change of a currently approved collection	2014-02-26
201102-3235-021 Approved without change	Extension without change of a currently approved collection	2011-05-12
200802-3235-010 Approved without change	Revision of a currently approved collection	2008-04-28
200506-3235-014 Approved without change	Extension without change of a currently approved collection	2005-06-09
200204-3235-006 Approved without change	Extension without change of a currently approved collection	2002-04-17
199904-3235-010 Approved without change	Extension without change of a currently approved collection	1999-04-13
199605-3235-017 Approved without change	Extension without change of a currently approved collection	1996-05-15
199307-3235-002 Approved without change	Revision of a currently approved collection	1993-07-12
199010-3235-007 Approved without change	Revision of a currently approved collection	1990-10-09
198710-3235-025 Approved without change	Revision of a currently approved collection	1987-10-27
198407-3235-017 Approved without change	Revision of a currently approved collection	1984-07-16
198107-3235-014 Approved without change	New collection (Request for a new OMB Control Number)	1981-07-21