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View ICR - OIRA Conclusion

OMB Control No: 3235-0279	ICR Reference No: 202509-3235-010
Status: Active	Previous ICR Reference No: 202301-3235-027
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-4; Records to be Preserved by Certain 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: 01/28/2026
	Date Received in OIRA: 12/04/2025
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2029	36 Months From Approved	01/31/2026
Responses	357,558,635	0	1,010,925,202
Time Burden (Hours)	4,774,146	0	9,306,630
Cost Burden (Dollars)	32,416,956	0	34,195,757

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion	Change Due to Adjustment in Estimate
Annual Number of Responses	357,558,635	1,010,925,202	-22,718,176	-630,648,391
Annual Time Burden (Hours)	4,774,146	9,306,630	-307,356	-4,225,128
Annual Cost Burden (Dollars)	32,416,956	34,195,757	-1,788,761	9,960

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The number of estimated respondents has been revised for some of the information collections in this ICR. These changes are discussed in more detail in the attached Supporting Statement.

Annual Cost to Federal Government:

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: Timothy Fox 202 551-5687

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