Information Collection

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

IC 42969 under ICR 201405-3235-005 · OMB 3235-0123.

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form SEC1696 Rule 17a-5; Quarterly reports to be made by certain brokers and dealers	Form
formx-17a-5_2a inst.pdf www.sec.gov/about/forms/formx-17a-5_2a.pdf	Instruction
SEC1696 Focus Report Part IIA formx-17a-5_2f.pdf www.sec.gov/about/forms/formx-17a-5_2f.pdf	Form

IC Title:

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

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC1696	Focus Report Part IIA	formx-17a-5_2f.pdf	http://www.sec.gov/about/forms/formx-17a-5_2f.pdf	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_2a inst.pdf	http://www.sec.gov/about/forms/formx-17a-5_2a.pdf	Yes	Yes	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 4,134

Number of Respondents for Small Entity: 812

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 90 %

table that charts list of burden
	Approved	Previously Approved
Annual Number of Responses for this IC	16,536	16,536
Annual IC Time Burden (Hours)	198,432	198,432
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
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.