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 SEC1696 Focus Report Part IIA	Form	Modified	Available
Form SEC1410 Focus Report Part III	Form	New	Available
Form SEC1410 Focus Report Part III	Form	New	Available
Form SEC1695 Focus Report Part II	Form	New	Available
17a-5 PRA Supporting Statement (Revisions March 21 2013) v2.pdf	Supporting Statement A	Uploaded 2013-06-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42969	Rule 17a-5; Quarterly reports to be made by certain brokers and dealers	Instruction	Modified
42969	Rule 17a-5; Quarterly reports to be made by certain brokers and dealers	Form	Modified	Focus Report Part IIA
205674	Annual audited reports	Form	New	Focus Report Part III
205673	Appendix E additional quarterly reports		New
205672	Appendix E additional annual reports		New
205506	Appendix E additional monthly reports		New
205504	Annual Reports	Form	New	Focus Report Part III
205430	Monthly Reports	Instruction	New
205430	Monthly Reports	Form	New	Focus Report Part II

ICR Details

OMB Control No: 3235-0123	ICR Reference No: 201301-3235-006
Status: Historical Active	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: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 06/26/2013
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/26/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2016	36 Months From Approved	06/30/2013
Responses	27,558	0	29,370
Time Burden (Hours)	329,940	0	353,760
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:
	78 FR 12108	02/21/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 24442	04/25/2013
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 7

table that charts list of burden

IC Title	Form No.	Form Name
Annual Reports	SEC1410	Focus Report Part III
Annual audited reports	SEC1410	Focus Report Part III
Appendix E additional annual reports
Appendix E additional monthly reports
Appendix E additional quarterly reports
Monthly Reports	SEC1695	Focus Report Part II
Rule 17a-5; Quarterly reports to be made by certain brokers and dealers	SEC1696	Focus Report Part IIA

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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	27,558	29,370	0	9	-1,821	0
Annual Time Burden (Hours)	329,940	353,760	0	0	-23,820	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 2009, the Commission estimated that there were approximately 5,190 registered brokers or dealers. At year end of 2009, there were approximately 29,370 total annual responses with the total annual time burden as 354,360 hours. However, at year end of 2011 the Commission estimated that there were approximately 4,802 registered brokers or dealers and 27,405 total annual responses with a total annual time burden of 329,940. Thus, the change in annual burden (23,820) is due to changes in the number of respondents that file the form pursuant to Rule 17a-5.

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Annual Cost to Federal Government: $33,225

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]? No

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: 04/26/2013

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