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

OMB 3235-0133

Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary.

The latest form for 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 expires 2021-03-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 1414 Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members Form and Instruction
3235-0133.pdf Supplementary Document
3235-0133.pdf Supplementary Document
Rule 17a-19 PRA Supporting Statement 2023 DGL REVISED.pdf Supporting Statement A
3235-0133 30 Day Notice.pdf Supplementary Document
3235-0133 60 day notice.pdf Supplementary Document
Form X-17A-19. Reports by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members Form and Instruction

All Historical Document Collections

202307-3235-021 Approved without change	Extension without change of a currently approved collection	2023-10-05
202303-3235-031 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-04-19
202009-3235-002	Extension without change of a currently approved collection	2020-12-01
201711-3235-003 Approved without change	Extension without change of a currently approved collection	2018-02-15
201405-3235-012 Approved without change	Extension without change of a currently approved collection	2014-11-24
201107-3235-003 Approved without change	Extension without change of a currently approved collection	2011-09-21
200807-3235-009 Approved without change	Extension without change of a currently approved collection	2008-09-22
200509-3235-001 Approved without change	Extension without change of a currently approved collection	2005-09-07
200207-3235-007 Approved without change	Extension without change of a currently approved collection	2002-07-10
199908-3235-018 Approved without change	Extension without change of a currently approved collection	1999-08-24
199610-3235-002 Approved without change	Extension without change of a currently approved collection	1996-10-10
199308-3235-019 Approved without change	Extension without change of a currently approved collection	1993-08-10
199101-3235-011 Approved without change	Reinstatement with change of a previously approved collection	1991-01-23
198710-3235-027 Approved without change	Extension without change of a currently approved collection	1987-10-23
198409-3235-009 Approved without change	Extension without change of a currently approved collection	1984-09-05
198109-3235-039 Approved without change	New collection (Request for a new OMB Control Number)	1981-09-30