Notice2026-01889
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-14 and Form CRS
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
January 30, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 20 (Friday, January 30, 2026)</title>
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[Federal Register Volume 91, Number 20 (Friday, January 30, 2026)]
[Notices]
[Pages 4128-4129]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-01889]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0766]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Rule 17a-14 and Form CRS
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 submitting to the Office of
Management and Budget (``OMB'') this request for extension of the
proposed collection of information provided for in Rule 17a-14 (17 CFR
240.17a-14) and Form CRS (17 CFR 249.640), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et seq.).
Rule 17a-14 and Form CRS require a broker-dealer that offers
services to retail investors to prepare and file with the Commission
through WebCRD, post to the broker-dealer's website (if it has one),
and deliver to retail investors a relationship summary. The
relationship summary can assist retail investors in making an informed
choice about whether to hire or retain a broker-dealer,
[[Page 4129]]
as well as what types of accounts and services are appropriate for
their needs.
The information that must be collected pursuant to Rule 17a-14 and
Form CRS is necessary to provide broker-dealer retail customers,
prospective retail customers, and the Commission with information about
the relationships and services the firm offers to retail investors,
fees and costs that the retail investor will pay, specific conflicts of
interest and standards of conduct, legal or disciplinary history, and
how to obtain additional information about the firm. The Commission
uses the information to manage its regulatory and examination programs.
Retail investors can use the information required in the relationship
summary to determine whether to hire or retain a broker-dealer, as well
as what types of accounts and services are appropriate for their needs.
The information will therefore help establish a framework that protects
investors and promotes efficiency, competition, and capital formation.
The aggregate annual hour burden for all respondents to comply with
the information collection requirements of Rule 17a-14 and Form CRS is
estimated to be approximately 7,424,299 hours per year. Under Rule 17a-
14 and Form CRS, respondents will also incur cost burdens. The
aggregate annual initial cost burden for all respondents is estimated
to be approximately $142,554 per year.
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.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202511-3235-004">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202511-3235-004</a> or email comment to
<a href="/cdn-cgi/l/email-protection#317c73691f7e7c731f7e7863701f6274726e5554425a6e5e575758525443715e5c531f545e411f565e47"><span class="__cf_email__" data-cfemail="3578776d1b7a78771b7a7c67741b6670766a5150465e6a5a53535c565047755a58571b505a451b525a43">[email protected]</span></a> within 30 days of the day
after publication of this notice, by March 2, 2026.
Dated: January 28, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-01889 Filed 1-29-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on January 30, 2026.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.