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SEC Agency Information Collection Activities; Proposed Collection; Comment Request

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Published March 23rd, 2026
Detected March 21st, 2026
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Summary

The SEC has issued a notice regarding proposed collection of agency information under Rule 17a-22. This notice requests public comment on the extension of an existing information collection requirement. The document cites OMB Control No. 3235-0196 and is published in the Federal Register.

What changed

The Securities and Exchange Commission (SEC) has published a notice requesting public comment on the proposed extension of an existing information collection activity related to Rule 17a-22. This action, identified by OMB Control No. 3235-0196, pertains to the SEC's agency information collection activities and is presented as a comment request for an extension. The document is published in the Federal Register with citation 91 FR 13897.

While this notice is a request for comments on an extension, it signifies an ongoing information collection requirement for entities subject to Rule 17a-22. Compliance officers should review the specific information collection requirements detailed in the full document to ensure continued adherence. The SEC is seeking public input, and while no specific compliance deadline is mentioned for the extension itself, the comment period is a critical juncture for potential feedback or clarification. Entities should be aware that this is a procedural step in the information collection lifecycle.

What to do next

  1. Review the specific information collection requirements detailed in the document.
  2. Submit comments to the SEC by the specified deadline if applicable.

Source document (simplified)

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Notice

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-22

A Notice by the Securities and Exchange Commission on 03/23/2026

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  • Document Details Published Content - Document Details Agency Securities and Exchange Commission Agency/Docket Number OMB Control No. 3235-0196 Document Citation 91 FR 13897 Document Number 2026-05553 Document Type Notice Pages 13897-13898
    (2 pages) Publication Date 03/23/2026 Published Content - Document Details

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  • Document Details Published Content - Document Details Agency Securities and Exchange Commission Agency/Docket Number OMB Control No. 3235-0196 Document Citation 91 FR 13897 Document Number 2026-05553 Document Type Notice Pages 13897-13898
    (2 pages) Publication Date 03/23/2026 Published Content - Document Details

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Published Document: 2026-05553 (91 FR 13897) This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

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Securities and Exchange Commission
  1. [OMB Control No. 3235-0196] Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (SEC or “Commission”) is soliciting comments on the proposed collection of information. Rule 17a-22 requires all registered clearing agencies to prominently post on their internet websites all supplementary materials they issue or make generally available to ( printed page 13898) their participants or other entities with whom they have a significant relationship. The supplementary materials must be posted within two days after they are issued or made generally available. When the Commission is not the clearing agency's appropriate regulatory agency, the clearing agency must file one copy of the material with its appropriate regulatory agency.

The Commission is responsible for overseeing clearing agencies and uses the information posted pursuant to Rule 17a-22 to determine whether a clearing agency is implementing procedural or policy changes. The information aides the Commission in determining whether such changes are consistent with the purposes of Section 17A of the Exchange Act. Also, the Commission uses the information to determine whether a clearing agency has changed its rules without reporting the actual or prospective change to the Commission as required under Section 19(b) of the Exchange Act.

The respondents to Rule 17a-22 are registered clearing agencies. The frequency of postings made by clearing agencies pursuant to Rule 17a-22 varies but on average there are approximately 120 postings per year per active clearing agency. There are nine clearing agencies, but only seven active registered clearing agencies that are expected to make postings pursuant to Rule 17a-22. The Commission staff estimates that each response requires approximately .25 hours (fifteen minutes), which represents the time it takes for a staff person at the clearing agency to properly identify a document subject to the rule and post the material prominently on the clearing agency's internet website. Thus, the total annual burden for all active clearing agencies is approximately 210 hours (7 clearing agencies multiplied by 120 filings per clearing agency multiplied by .25 hours).

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB Control Number.

Written comments are invited on: (a) whether this proposed collection of information is necessary for the proper performance of the functions of the SEC, including whether the information will have practical utility; (b) the accuracy of the SEC's estimate of the burden imposed by the proposed collection of information, including the validity of the methodology and the assumptions used; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated, electronic collection techniques or other forms of information technology.

Please direct your written comments on this 60-Day Collection Notice to Austin Gerig, Director/Chief Data Officer, Securities and Exchange Commission, c/o Tanya Ruttenberg via email to PaperworkReductionAct@sec.gov by May 22, 2026. There will be a second opportunity to comment on this SEC request following the Federal Register publishing a 30-Day Submission Notice.

Dated: March 18, 2026.

Vanessa A. Countryman,

Secretary.

[FR Doc. 2026-05553 Filed 3-20-26; 8:45 am]

BILLING CODE 8011-01-P

Published Document: 2026-05553 (91 FR 13897)

Named provisions

Rule 17a-22

Classification

Agency
Securities and Exchange Commission
Published
March 23rd, 2026
Instrument
Notice
Legal weight
Non-binding
Stage
Consultation
Change scope
Minor
Document ID
91 FR 13897 / OMB Control No. 3235-0196
Docket
OMB Control No. 3235-0196

Who this affects

Applies to
Broker-dealers Public companies
Industry sector
5231 Securities & Investments
Activity scope
Information Collection
Geographic scope
United States US

Taxonomy

Primary area
Securities
Operational domain
Compliance
Topics
Information Collection Rulemaking

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