Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board.

OMB 3235-0208

OMB 3235-0208

Rule 17a-1 requires that all national securities exchanges and associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of five, two years in an accessible place, all documents that they make or receive respecting their self-regulatory activities, and that such documents be made available for examination by the Commission.

The latest form for Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board. expires 2023-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material
All Historical Document Collections
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Extension without change of a currently approved collection 2022-10-28
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Extension without change of a currently approved collection 2019-11-13
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Extension without change of a currently approved collection 2016-10-12
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Extension without change of a currently approved collection 2013-10-22
Approved without change
Extension without change of a currently approved collection 2010-09-20
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Revision of a currently approved collection 2007-08-29
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Extension without change of a currently approved collection 2004-09-23
Approved without change
Revision of a currently approved collection 2001-06-01
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Extension without change of a currently approved collection 1998-07-14
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Extension without change of a currently approved collection 1995-07-20
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Revision of a currently approved collection 1992-07-23
Approved without change
Revision of a currently approved collection 1989-10-23
Approved without change
Revision of a currently approved collection 1986-09-08
Approved without change
Revision of a currently approved collection 1983-08-08
Approved without change
New collection (Request for a new OMB Control Number) 1981-11-02
OMB Details

Rule 17a-1: SRO's Required to Comply with Rule

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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