Annual audited reports

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⚠️ Notice: This information collection may be referencing outdated material.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 SEC1410 Annual audited reports Form
SEC1410 Focus Report Part III formx-17a-5_3.pdf www.sec.gov/about/forms/formx-17a-5_3.pdf Form

Information Collection (IC) Details

IC Title:	Annual audited reports	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17-5

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC1410	Focus Report Part III	formx-17a-5_3.pdf	http://www.sec.gov/about/forms/formx-17a-5_3.pdf	Yes	Yes	Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 4,650	Number of Respondents for Small Entity: 812

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 90 %

	Approved	Change Due to Adjustment in Agency Estimate
Annual Number of Responses for this IC	4,650	4,650
Annual IC Time Burden (Hours)	55,800	55,800
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.