View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0540
ICR Reference No:
202504-3235-024
Status:
Active
Previous ICR Reference No:
202205-3235-014
Agency/Subagency:
SEC
Agency Tracking No:
TM
Title:
Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
12/09/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
09/05/2025
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2028
36 Months From Approved
12/31/2025
Responses
213,233
0
223,178
Time Burden (Hours)
35,667
0
29,924
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 17a-25(a)(1) requires broker-dealers registered with the Commission to electronically submit securities transaction information, including identifiers for prime brokerage arrangements, average price accounts, and depository institutions, in a standardized format when requested by the Commission staff. In addition, Rule 17a-25(c) requires broker-dealers to submit, and keep current, contact person information for electronic blue sheets requests. The Commission uses the information for enforcement inquiries or investigations and trading reconstructions, as well as for inspections and examinations. Therefore, Rule 17a-25 (17 CFR 240.17a-25) is a reporting requirement.
Authorizing Statute(s):
US Code:
15 USC 78a et. seq.
Name of Law: Securities Exchange Act
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
90 FR 21814
05/21/2025
30-day Notice:
Federal Register Citation:
Citation Date:
90 FR 43014
09/05/2025
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
2
IC Title
Form No.
Form Name
Rule 17a-25: Electronic Reporting
Rule 17a-25: Manual Reporting
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
213,233
223,178
0
0
-9,945
0
Annual Time Burden (Hours)
35,667
29,924
0
0
5,743
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The number of unique EBS requests sent decreased (5,404 annual average versus 6,779 annual average from the prior comparable 24-month figure reported in 2022). There was also a decrease in: (1) the number of electronic responses received (213,137 annual average versus 223,057 annual average from the prior comparable 24-month figure reported in 2022); and (2) the number of manual responses received (96 annual average versus 122 annual average from the prior annual figure reported in 2022). However, the annual aggregate hour reporting burden increased overall. The increase in burden reflects an increase in the estimated time burden for an electronic response from 8 minutes per response to 10 minutes per response. Accounting for all of these changes, the annual aggregate hour reporting burden has increased from 29,924 in 2022 to 35,667 currently.
Annual Cost to Federal Government:
$916,160
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.
Yes
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.
Yes
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:
Kathleen Gross 202 551-5305
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
09/05/2025
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