Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.

OMB 3235-0540

Rule 17a-25 sets forth the obligations of registered broker-dealers to submit securities trading data in electronic format upon request by the Commission for enforcement and other regulatory purposes.

The latest form for Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers. expires 2022-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0540.pdf Supplementary Document
3235-0540.pdf Supplementary Document
2022 17Ad-17 Supporting Statement.pdf Supporting Statement A
Rule 17a-25: Electronic Reporting
Rule 17a-25: Manual Reporting

All Historical Document Collections

202205-3235-014 Approved without change	Extension without change of a currently approved collection	2022-08-16
201904-3235-005 Approved with change	Extension without change of a currently approved collection	2019-05-17
201512-3235-012 Approved without change	Extension without change of a currently approved collection	2016-02-22
201209-3235-005 Approved with change	Extension without change of a currently approved collection	2013-01-07
200909-3235-012 Approved without change	Extension without change of a currently approved collection	2009-12-14
200610-3235-002 Approved without change	Extension without change of a currently approved collection	2006-10-11
200307-3235-003 Approved without change	Reinstatement with change of a previously approved collection	2003-07-14
200005-3235-002 Approved without change	New collection (Request for a new OMB Control Number)	2000-05-05

OMB Details

Rule 17a-25: Electronic Reporting

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight