Information Collection

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

IC 42969 under ICR 200912-3235-030 · OMB 3235-0123.

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form X-17A5 Rule 17a-5; Reports to be made by certain brokers and dealers	Form and Instruction
X-17A5 Form X-17A5 (Focus Report) 2009 Form X-17A5 (Focus Report).doc	Form and Instruction

IC Title:

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

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	X-17A5	Form X-17A5 (Focus Report)	2009 Form X-17A5 (Focus Report).doc		No		Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 5,190

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 98 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	29,370	-7,017	36,387
Annual IC Time Burden (Hours)	353,760	-80,640	434,400
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
No associated records found

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