Information Collection

Rule 17a-5 and Form X-17A-5; Reports to be made by certain brokers and dealers

IC 34398 under ICR 200108-3235-005 · OMB 3235-0123.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0123 can be found here:

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Information Collection (IC) Details

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IC Title:	Rule 17a-5 and Form X-17A-5; Reports to be made by certain brokers and dealers	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Available Electronically?	Can Be Submitted Electronically?
Form	1696	Yes	Yes
Form	1695	Yes	Yes
Form	1705	Yes	Yes
Form	1410	Yes	Yes

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,230	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 97 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	33,870	-6,025	39,895
Annual IC Time Burden (Hours)	406,440	-72,300	478,740
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.