Federal Register #OMB Control No. 3235-0085

SEC Requests Public Comment on Rule 17a-11 Information Collection Extension

This opportunity concerns a regulatory notice from the Securities and Exchange Commission (SEC) regarding information collection under Rule 17a-11. - Government Buyer: - Securities and Exchange Commission (SEC) - No OEMs or vendors are mentioned in this notice - No products or services are being requested or procured - Purpose: - The SEC is seeking public comment on the proposed extension of information collection requirements for broker-dealers under Rule 17a-11 - Rule 17a-11 requires broker-dealers to notify the SEC and other authorities if they experience financial or operational difficulties - Notable Requirements: - The notice invites feedback on the necessity, accuracy, and burden of the information collection - Suggestions for improving the quality and minimizing the burden of the collection are also requested - This is not a procurement or solicitation for goods or services, but a regulatory request for public input

Description

The Securities and Exchange Commission (SEC) has published a notice regarding the proposed extension of the collection of information under Rule 17a-11. This rule requires broker-dealers experiencing financial or operational difficulties to notify the SEC and other relevant authorities. The notice invites public comments on the proposed extension but does not specify a closing date for comments. The rule is part of the SEC's financial responsibility program to monitor broker-dealers' conditions.

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