Rule 17a-5: FOCUS Reports - Monthly Reports

Rule 17a-5, Form X-17A-5 (FOCUS REPORT)

⚠️ Notice: This information collection may be referencing outdated material.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 Focus Report Part Rule 17a-5: FOCUS Reports - Monthly Reports Form and Instruction
formx-17a-5_Part II (Instructions).pdf www.sec.gov/forms Instruction
Focus Report Part Form X-17A-5 - Focus Report Part I formx-17a-5_Part I.pdf www.sec.gov/forms Form and Instruction
Focus Report Part Form X-17A-5 - Focus Report Part II formx-17a-5_Part II.pdf www.sec.gov/forms Form

Information Collection (IC) Details

IC Title:	Rule 17a-5: FOCUS Reports - Monthly Reports	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:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Focus Report Part I	Form X-17A-5 - Focus Report Part I	formx-17a-5_Part I.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable
Form	Focus Report Part II	Form X-17A-5 - Focus Report Part II	formx-17a-5_Part II.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_Part II (Instructions).pdf	https://www.sec.gov/forms	Yes	Yes	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 487	Number of Respondents for Small Entity: 19

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	5,844	-312	6,156
Annual IC Time Burden (Hours)	70,128	-3,744	73,872
Annual IC Cost Burden (Dollars)	0	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.