# Federal Register #2026-20055

SEC Request to Extend the Rule 17a-11 Information Collection

**Buyer:** Securities and Exchange Commission
**Posted:** September 30, 2026
**Identifier:** 2026-20055

The Securities and Exchange Commission (SEC) is seeking to extend the Rule 17a-11 information collection through the Office of Management and Budget (OMB).
- **Government entities:** SEC is the requesting agency; OMB is the reviewing office.
- **Purpose:** Rule 17a-11 requires certain broker-dealers and derivatives dealers to report financial or operational difficulties and specified net-capital conditions to the SEC and other designated authorities.
- **Additional reporting:** National securities exchanges and associations must notify the SEC when a member fails to submit a required notice or report.
- **Estimated burden:** Approximately 201 hours per year.
- **Procurement status:** This is a regulatory information-collection notice, not a procurement. No products, services, OEMs, vendors, quantities, or contract value are identified.

### Description

The Securities and Exchange Commission has submitted a request to the Office of Management and Budget to extend the previously approved information collection under Rule 17a-11. The rule requires broker-dealers experiencing financial or operational difficulties to notify the Commission and other designated authorities, and also requires certain derivatives dealers and broker-dealers to report specified net-capital conditions. It further requires national securities exchanges and associations to notify the Commission when a member fails to provide a required notice or report. The notice estimates a total annual burden of approximately 201 hours and invites public comment within 30 days of publication.

[View original listing](https://www.federalregister.gov/documents/2026/09/30/2026-20055/agency-information-collection-activities-submission-for-omb-review-comment-request-extension-rule)