Report on Income and Expense, Rule 17a-10 and Form X-17A-5

ICR 201406-3235-002

OMB: 3235-0122

Federal Form Document

Forms and Documents
IC Document Collections
ICR Details
3235-0122 201406-3235-002
Historical Active 201106-3235-003
SEC TM-270-154
Report on Income and Expense, Rule 17a-10 and Form X-17A-5
Extension without change of a currently approved collection   No
Regular
Approved without change 11/28/2014
Retrieve Notice of Action (NOA) 09/17/2014
  Inventory as of this Action Requested Previously Approved
11/30/2017 36 Months From Approved 11/30/2014
38 0 103
456 0 1,236
0 0 0

Rule 17a-10 was adopted in 1968 and requires brokers and dealers to provide financial and operational data.

US Code: 15 USC 78o(c)(3), 78q(a), 78w(a) Name of Law: Sections 15(c)(3), 17(a) and 23(a) of the Exchange Act
  
None

Not associated with rulemaking

  79 FR 39000 07/09/2014
79 FR 54755 09/12/2014
No

1
IC Title Form No. Form Name
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). X-17A-5 FOCUS Report

  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 38 103 0 0 -65 0
Annual Time Burden (Hours) 456 1,236 0 0 -780 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The total compliance burden dropped from 1,236 hours to 456 hours due to the number of broker-dealers that file the facing page, income statement, and balance sheet under Rule 17a-10 decreasing from 103 to 38.

$0
No
No
No
No
No
Uncollected
Carrie O'Brien 2025515640

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
09/17/2014


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