SEC Proposed Collection Comment Request for Rule 17a-2 Extension

FR: Securities and Exchange Commission

Published March 18th, 2026

Detected March 18th, 2026

Summary

The Securities and Exchange Commission (SEC) has issued a notice requesting public comment on the extension of an existing information collection requirement under Rule 17a-2. This notice pertains to OMB Control No. 3235-0201 and seeks feedback on the continued necessity and burden of the rule.

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What changed

The Securities and Exchange Commission (SEC) is seeking public comment on the proposed extension of an information collection activity related to Rule 17a-2, identified by OMB Control No. 3235-0201. This notice, published in the Federal Register, indicates that the SEC intends to continue collecting information under this rule and is soliciting feedback on its necessity, burden, and potential improvements.

Regulated entities, particularly broker-dealers and fund managers, should review the proposed extension and consider submitting comments to the SEC by the specified deadline. While this is a notice for comment on an existing collection, feedback is crucial for shaping any future modifications or reaffirmations of the rule's requirements. Failure to comment may result in the continuation of the information collection as proposed.

What to do next

Review SEC notice regarding Rule 17a-2 information collection extension
Consider submitting comments to the SEC by the deadline if the collection impacts operations

Source document (simplified)

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Notice

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-2

A Notice by the Securities and Exchange Commission on 03/18/2026

Document Details Published Content - Document Details Agency Securities and Exchange Commission Agency/Docket Number OMB Control No. 3235-0201 Document Citation 91 FR 13096 Document Number 2026-05233 Document Type Notice Page 13096
(1 page) Publication Date 03/18/2026 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. 3235-0201 Document Citation 91 FR 13096 Document Number 2026-05233 Document Type Notice Page 13096
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Securities and Exchange Commission

[OMB Control No. 3235-0201] 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 (“PRA”) (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (“Commission”) is soliciting comments on the existing collection of information provided for in Rule 17a-2 (17 CFR 240.17a-2), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (“Exchange Act”). The Commission plans to submit this existing collection of information to the Office of Management and Budget (“OMB”) for extension and approval.

Rule 17a-2—Recordkeeping Requirements Relating to Stabilizing Activities—requires underwriters to maintain information regarding stabilizing activities conducted in accordance with Rule 104 of Regulation M. The collections of information under Regulation M and Rule 17a-2 are necessary for covered persons to obtain certain benefits or to comply with certain requirements. The collections of information are necessary to provide the Commission with information regarding syndicate covering transactions and penalty bids. The Commission may review this information during periodic examinations or with respect to investigations. Except for the information required to be kept under Rule 104(i) (17 CFR 242.104(i)) and Rule 17a-2(c), none of the information required to be collected or disclosed for PRA purposes will be kept confidential. The recordkeeping requirement of Rule 17a-2 requires the information be maintained in a separate file, or in a separately retrievable format, for a period of three years, the first two years in an easily accessible place, consistent with the requirements of Exchange Act Rule 17a-4(f) (17 CFR 240.17a-4(f)).

There are approximately 647 respondents per year that require an aggregate total of approximately 3,235 hours to comply with this rule. Each respondent makes an estimated 1 annual response. Each response takes approximately 5 hours to complete. Thus, the total hour burden per year is approximately 3,235 hours. The total internal compliance cost for the respondents is approximately $530,540 per year, resulting in an internal cost of compliance for each respondent per response of approximately $820 (i.e., $530,540/647 responses).

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 the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission's estimates of the burden of 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 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 18, 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 13, 2026.

Sherry R. Haywood,

Assistant Secretary.

[FR Doc. 2026-05233 Filed 3-17-26; 8:45 am]

BILLING CODE 8011-01-P

Published Document: 2026-05233 (91 FR 13096)