Rule 17a-25: Manual Reporting

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

Documents and Forms

Document Name Document Type
SORN SEC 17 Enforcement Files.pdf SORN SEC-17 Enforcement Files IC Document

Information Collection (IC) Details

IC Title:	Rule 17a-25: Manual Reporting	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-25

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-17: Enforcement Files.	FR Citation: 85 FR 85440

Number of Respondents: 557	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 99 %

	Requested	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	96	-26	122
Annual IC Time Burden (Hours)	144	-39	183
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
SORN SEC-17 Enforcement Files	SORN SEC 17 Enforcement Files.pdf	05/13/2025

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.