Information Collection

Rule 17a-5: FOCUS Reports - Quarterly Reports

IC 42969 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⚠️ Notice: This information collection may be referencing outdated material.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: FOCUS Reports - Quarterly Reports	Form
formx-17a-5_Part IIA (Instructions).pdf www.sec.gov/forms	Instruction
Focus Report - Par Form X-17A-5 - Focus Report Part I formx-17a-5_Part IIA.pdf www.sec.gov/forms	Form

IC Title:

Rule 17a-5: FOCUS Reports - Quarterly 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	Focus Report - Part IIA	Form X-17A-5 - Focus Report Part I	formx-17a-5_Part IIA.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_Part IIA (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: 4,058

Number of Respondents for Small Entity: 1,489

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	16,232	-304	16,536
Annual IC Time Burden (Hours)	194,784	-3,648	198,432
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.