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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form X-17A5 Rule 17a-5; Reports to be made by certain brokers and dealers	Form and Instruction	Modified	Available
2009 17a-5 Supporting Statement.doc	Supporting Statement A	Uploaded 2010-01-20	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42969	Rule 17a-5; Reports to be made by certain brokers and dealers	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0123	ICR Reference No: 200912-3235-030
Status: Historical Active	Previous ICR Reference No: 200611-3235-007
Agency/Subagency: SEC	Agency Tracking No: TM-270-155
Title: Rule 17a-5; Reports to be made by certain brokers and dealers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/16/2010
	Date Received in OIRA: 02/25/2010
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2013	36 Months From Approved	04/30/2010
Responses	29,370	0	36,387
Time Burden (Hours)	353,760	0	434,400
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-5 and Form X-17A-5 provide for the basic documents for reporting the financial and operational condition of securities brokers and dealers.

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Authorizing Statute(s): US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 64101	12/07/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 8759	02/25/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17a-5; Reports to be made by certain brokers and dealers	X-17A5	Form X-17A5 (Focus Report)

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	29,370	36,387	0	0	-7,017	0
Annual Time Burden (Hours)	353,760	434,400	0	0	-80,640	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Previously, at year end of 2005, the Commission estimated that there were approximately 6,200 registered brokers or dealers. At year end of 2005, there were approximately 36,387 total annual responses with the total annual hour burden as 434,400. However, as stated above, at year end of 2008 the Commission estimated that there were approximately 5,190 brokers or dealers and 29,370 total annual responses and with a total annual hour burden as 353,760. Thus, the change in annual burden (80,640) is due to changes in the number of respondents that file the form pursuant to Rule17a-5.

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Annual Cost to Federal Government: $48,750

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 02/25/2010

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