Information Collection

Rule 17a-5: Annual Audited Reports

IC 205504 under ICR 201606-3235-015 · 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⚠️ Notice: This information collection may be referencing outdated material.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 Focus Report - Par Rule 17a-5: Annual Audited Reports	Form and Instruction
Focus Report - Par Form X-17A-5 - Focus Report Part III formx-17a-5_Part III (Proposal).pdf www.sec.gov/forms	Form and Instruction
Focus Report - Sch Form X-17A-5 - Focus Report Schedule I formx-17a-5_schedi.pdf www.sec.gov/forms	Form and Instruction

IC Title:

Rule 17a-5: Annual Audited 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:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Focus Report - Part III	Form X-17A-5 - Focus Report Part III	formx-17a-5_Part III (Proposal).pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable
Form and Instruction	Focus Report - Schedule I	Form X-17A-5 - Focus Report Schedule I	formx-17a-5_schedi.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 4,345

Number of Respondents for Small Entity: 1,508

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	4,345	4,282	63
Annual IC Time Burden (Hours)	52,140	51,384	756
Annual IC Cost Burden (Dollars)	0	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.