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	Removed	Available
Dodd-Frank Section 982.pdf	Supplementary Document	Uploaded 2011-11-23	Available
PRA 17a-5 Supporting Statement .docx	Supporting Statement A	Uploaded 2011-11-23	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	Removed
200447	Annual Audit Report (Broker-Dealers)		New
200446	Additional Annual Reports -- Appendix E		New
200445	Additional Quarterly Reports -- Appendix E		New
200444	Additional monthly reports -- Appendix E		New
200443	SIPC-proposed and final rule to require forms filed with SIPC		New
200442	New Notice deisgnating accountant (Broker-Dealers)		New
200441	Audit Report Filed with SIPC - Broker-Dealers		New
200440	Annual Exemption report -- Non-Carrying Broker-Dealers		New
200439	Annual Compliance Report - Carrying Broker-Dealers		New
200438	FOCUS Reports - annual		New
200437	FOCUS Reports - quarterly		New
200436	FOCUS Reports - Monthly		New

ICR Details

OMB Control No: 3235-0123	ICR Reference No: 201111-3235-034
Status: Historical Inactive	Previous ICR Reference No: 200912-3235-030
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: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 02/10/2012
	Date Received in OIRA: 12/13/2011
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2013	36 Months From Approved	06/30/2013
Responses	29,370	0	29,370
Time Burden (Hours)	353,760	0	353,760
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-5 requires brokers and dealers to file periodic reports of their financial and operational condition.

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Authorizing Statute(s): US Code: 15 USC 78a78o(c)(3), 78q(a), 78w(a) Name of Law: Sections 15(c)(3), 17(a), and 23(a) of the Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 982 Name of Law: Pub.L: 111-203 Sec: 982 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK56	Proposed rulemaking	76 FR 37572	06/27/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 12

table that charts list of burden

IC Title	Form No.	Form Name
Annual Audit Report (Broker-Dealers)
SIPC-proposed and final rule to require forms filed with SIPC
Rule 17a-5; Reports to be made by certain brokers and dealers	X-17A5	Form X-17A5 (Focus Report)
Additional Annual Reports -- Appendix E
Annual Exemption report -- Non-Carrying Broker-Dealers
FOCUS Reports - Monthly
Audit Report Filed with SIPC - Broker-Dealers
Annual Compliance Report - Carrying Broker-Dealers
FOCUS Reports - annual
FOCUS Reports - quarterly
New Notice deisgnating accountant (Broker-Dealers)
Additional Quarterly Reports -- Appendix E
Additional monthly reports -- Appendix E

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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: With respect to the proposal, the change in time burden would be due to a change in the estimate of the number of respondents, resulting in a decrease of 1,812 hours (353,760 –351,948 = 1,812) and the additional burden due to the proposed amendments, resulting in an increase of 47,993 hours, for a net increase of 46,181 annual hours.

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Annual Cost to Federal Government: $0

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]? No

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

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: 12/13/2011

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