Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

OMB 3235-0279

OMB 3235-0279

Rule 17a-4 requires certain records to be maintained by certain exchange members and registered brokers and dealers.

The latest form for Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers expires 2022-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2024-03-29
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2024-01-17
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-11-17
Approved with change
 Revision of a currently approved collection 2023-02-09
Approved without change
 Extension without change of a currently approved collection 2022-11-08
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2022-06-29
Approved with change
 Revision of a currently approved collection 2021-07-30
Approved without change
 Extension without change of a currently approved collection 2019-10-22
Approved with change
 Revision of a currently approved collection 2019-08-09
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2018-06-15
Approved without change
 Extension without change of a currently approved collection 2016-10-19
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2016-03-17
Approved without change
 No material or nonsubstantive change to a currently approved collection 2013-11-04
Approved without change
 Revision of a currently approved collection 2013-09-12
Approved without change
 Extension without change of a currently approved collection 2011-03-18
Preapproved
 Revision of a currently approved collection 2010-07-14
Approved without change
 Revision of a currently approved collection 2008-02-15
Approved without change
 Extension without change of a currently approved collection 2005-02-03
Approved without change
 No material or nonsubstantive change to a currently approved collection 2004-05-17
Approved without change
 Revision of a currently approved collection 2002-01-23
Approved without change
 Revision of a currently approved collection 2001-11-06
Approved without change
 Revision of a currently approved collection 2001-04-16
Comment filed on proposed rule and continue
 Revision of a currently approved collection 1998-10-26
Approved without change
 No material or nonsubstantive change to a currently approved collection 1997-12-29
Approved without change
 Revision of a currently approved collection 1997-03-03
Comment filed on proposed rule and continue
 Revision of a currently approved collection 1996-10-28
Approved without change
 Extension without change of a currently approved collection 1996-05-31
Approved without change
 Revision of a currently approved collection 1993-08-10
Approved without change
 Revision of a currently approved collection 1992-07-23
Approved without change
 Reinstatement with change of a previously approved collection 1989-10-26
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-08-03
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-06-26
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-06-01
Approved without change
 Revision of a currently approved collection 1986-08-14
Approved without change
 Revision of a currently approved collection 1983-08-08
Approved without change
 New collection (Request for a new OMB Control Number) 1982-11-16
OMB Details

Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers

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