Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Customer Account Statements (17 CFR 242.607)
Published Date: 1/29/2026
Notice
Summary
The SEC is asking to keep collecting info from broker-dealers about how they handle customer orders and payments they get for routing those orders. This affects over 3,300 firms and more than 330 million customer accounts, with firms spending about 78 hours a year on this. The goal? To keep investors informed and protected, with no new costs or big changes—just a paperwork extension and a chance for public feedback.
Analyzed Economic Effects
2 provisions identified: 1 benefits, 1 costs, 0 mixed.
Paperwork Burden on Broker-Dealers
Broker-dealer firms must comply with this disclosure collection each year; the SEC estimates about 3,342 respondents spend on average 77.918 hours per firm per year, for an aggregate annual burden of 260,401.956 hours. The rule collection is being submitted to OMB for extension (OMB Control No. 3235-0435).
Broker Disclosures on Payment-for-Order-Flow
If you have a brokerage account, firms must disclose on each new account and on your annual statement their policies about receiving payment for order flow and the aggregate amount of monetary payments, discounts, rebates, or fee reductions they received over the past year. The SEC says this disclosure applies across about 3,342 firms and 330,297,553 customer accounts.
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