View Information Collection Request (ICR) Package

OMB Control No: 3235-0133	ICR Reference No: 202303-3235-031
Status: Historical Inactive	Previous ICR Reference No: 202009-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-148
Title: Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 06/22/2023
	Date Received in OIRA: 04/19/2023
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule. SEC should double check Rule 17a-19 reporting burden listed in ROCIS in final submission.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/29/2024	02/29/2024	02/29/2024
Responses	408	0	408
Time Burden (Hours)	102	0	102
Cost Burden (Dollars)	0	0	0

Abstract: Rule 17a-19 and Form X-17A-19 were adopted in 1974 to facilitate the program in which broker-dealers are examined and report to only one self-regulatory organization. The Form is filed whenever a change in membership status occurs in order to notify the Commission that a change in the designated examining authority for the broker-dealer may be necessary. 2023 Proposal: The Commission has proposed a rule amendment to require filers to submit Form X-17A-19 in the Commission's Electronic Data Gathering and Retrieval (EDGAR) system in a structured data language (a custom eXtensible Markup Language). However, the Commission is not proposing to change the substance of the information collection, only the manner in which the information is filed.

Authorizing Statute(s): US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Proposed rulemaking	88 FR 23920	04/18/2023

Federal Register Notices & Comments
Did the Agency receive public comments on this ICR? No

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission has proposed a rule that would change the method of filing the collection of information from paper to electronic format. The Commission has added a new information collection to this ICR to reflect the initial burden to comply with the electronic filing requirement. The Commission has also revised the number of respondents and responses to the existing information collection to reflect the change in the number of filings it receives per year.

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

Agency Contact: Valentina Deng 202 551-5778

View ICR - OIRA Conclusion