Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers

Forms and Documents

Document Name	Status
20250905_3235-0540_2025-17027_90 FR 43014_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-09-05
2025 05 21_90 FR 21814_3235-0540_60-Day Collection Notice.pdf Supplementary Document	2025-09-05
2025 17a-25 Supporting Statement.pdf Supporting Statement A	2025-08-27

IC Document Collections

IC ID	Document Title	Status
35354	Rule 17a-25: Electronic Reporting	Modified
190768	Rule 17a-25: Manual Reporting	Modified

ICR Details

OMB Control No: 3235-0540	ICR Reference No: 202504-3235-024
Status: Received in OIRA	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	Date Submitted to OIRA: 09/05/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2025
Responses	213,233	223,178
Time Burden (Hours)	35,667	29,924
Cost Burden (Dollars)	0	0

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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.

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Authorizing Statute(s): US Code: 15 USC 78a et. seq. Name of Law: Securities Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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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

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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

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ICR Summary of Burden

	Total Request	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.

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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

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Common Form ICR:  No

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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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