Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).

ICR 201106-3235-003

OMB: 3235-0122

Federal Form Document

Forms and Documents
IC Document Collections
ICR Details
3235-0122 201106-3235-003
Historical Active 200807-3235-006
SEC TM-270-154
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).
Extension without change of a currently approved collection   No
Regular
Approved without change 09/29/2011
Retrieve Notice of Action (NOA) 08/23/2011
  Inventory as of this Action Requested Previously Approved
09/30/2014 36 Months From Approved 10/31/2011
103 0 500
1,236 0 6,000
0 0 0

Rule 17a-10 was adopted in 1968 and requires brokers and dealers to provide financial and operational data.

US Code: 15 USC 78o(c)(3), 78q(a), 78w(a) Name of Law: Sections 15(c)(3), 17(a) and 23(a) of the Exchange Act
  
None

Not associated with rulemaking

  76 FR 34780 06/14/2011
76 FR 51438 08/18/2011
No

1
IC Title Form No. Form Name
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). X-17A-5 FOCUS Report

  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 103 500 0 0 -397 0
Annual Time Burden (Hours) 1,236 6,000 0 0 -4,764 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The annual time burden dropped from 6,000 hours to 1,236 hours due to a change in the agency estimate of the number of broker-dealers that file the facing page, income statement, and balance sheet that decreased from 500 to 103 annual responses.

$0
No
No
No
No
No
Uncollected
Carrie O'Brien 2025515640

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
08/23/2011


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