Notice2025-14205
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-1
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
July 28, 2025
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 90 Issue 142 (Monday, July 28, 2025)</title>
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[Federal Register Volume 90, Number 142 (Monday, July 28, 2025)]
[Notices]
[Page 35563]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2025-14205]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0208]
Agency Information Collection Activities; Proposed Collection;
Comment Request; Extension: Rule 17a-1
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``SEC'' or ``Commission'') is soliciting comments on the
proposed collection of information.
Rule 17a-1 (17 CFR 240.17a-1) requires that every national
securities exchange, national securities association, registered
clearing agency, and the Municipal Securities Rulemaking Board keep on
file for a period of not less than five years, the first two years in
an easily accessible place, at least one copy of all documents,
including all correspondence, memoranda, papers, books, notices,
accounts, and other such records made or received by it in the course
of its business as such and in the conduct of its self-regulatory
activity, and that such documents be available for examination by the
Commission.
There are 38 entities required to comply with the rule: 28 national
securities exchanges, 1 national securities association, 8 registered
clearing agencies, and the Municipal Securities Rulemaking Board. The
Commission staff estimates that the average number of hours necessary
for compliance with the requirements of Rule 17a-1 by each entity is 52
hours per year. In addition, 3 national securities exchanges notice-
registered pursuant to Section 6(g) of the Act (15 U.S.C. 78f(g)) are
required to preserve records of determinations made under Rule 3a55-1
under the Act (17 CFR 240.3a55-1), which the Commission staff estimates
will take 1 hour per exchange per year, for a total of 3 hours per
year. Accordingly, the Commission staff estimates that the total number
of hours necessary to comply with the requirements of Rule 17a-1 is
1,979 hours per year.
The collection of information is mandatory and is kept confidential
as permitted by the Freedom of Information Act (5 U.S.C. 552 et seq.).
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the SEC, including whether the information will have
practical utility; (b) the accuracy of the SEC's estimate of the burden
imposed by the proposed collection of information, including the
validity of the methodology and the assumptions used; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated,
electronic collection techniques or other forms of information
technology.
Please direct your written comments on this 60-Day Collection
Notice to Austin Gerig, Director/Chief Data Officer, Securities and
Exchange Commission, c/o Tanya Ruttenberg via email to
<a href="/cdn-cgi/l/email-protection#e2b283928790958d9089b087869781968b8d8ca38196a2918781cc858d94"><span class="__cf_email__" data-cfemail="3b6b5a4b5e494c544950695e5f4e584f5254557a584f7b485e58155c544d">[email protected]</span></a> by September 26, 2025. There will be a
second opportunity to comment on this SEC request following the Federal
Register publishing a 30-Day Submission Notice.
Dated: July 24, 2025.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2025-14205 Filed 7-25-25; 8:45 am]
BILLING CODE 8011-01-P
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