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

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

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

Information Collection (IC) Details

View Information Collection (IC)

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: Removed

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5

Information Collection 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 %

	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	-29,370	29,370
Annual IC Time Burden (Hours)	-353,760	353,760
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

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.