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

ICR 201701-3235-012

OMB: 3235-0123

Federal Form Document

Forms and Documents
ICR Details
3235-0123 201701-3235-012
Historical Active 201405-3235-005
SEC TM-270-155
Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
Extension without change of a currently approved collection   No
Regular
Approved without change 08/30/2017
Retrieve Notice of Action (NOA) 05/26/2017
  Inventory as of this Action Requested Previously Approved
08/31/2020 36 Months From Approved 08/31/2017
36,881 0 41,543
353,510 0 385,140
45,131,475 0 57,051,000

Section 17(a)(1) of the Securities Exchange Act of 1934 ("Exchange Act") provides that broker-dealers must make and keep records, furnish copies of the records, and make and disseminate reports as the Securities and Exchange Commission ("Commission"), by rule, prescribes. Section 17(e)(1)(A) of the Exchange Act requires every broker-dealer registered with the Commission to annually file with the Commission: a balance sheet and income statement "certified by an independent public accounting firm, or by a registered public accounting firm if the firm is required to be registered under the Sarbanes-Oxley Act of 2002" and such other financial statements (which shall, as the Commission specifies, be certified) and information concerning its financial condition as the Commission, by rule, may prescribe. A registered public accounting firm means a public accounting firm registered with the Public Company Accounting Oversight Board ("PCAOB"). Section 17(e)(2) provides that the Commission, by rule, may prescribe the form and content of the financial statements and the accounting principles and standards used in their preparation.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  82 FR 16638 04/05/2017
82 FR 24412 05/26/2017
No

  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 36,881 41,543 0 0 -4,662 0
Annual Time Burden (Hours) 353,510 385,140 0 0 -31,630 0
Annual Cost Burden (Dollars) 45,131,475 57,051,000 0 0 -11,919,525 0
No
No
The annual ongoing hour burden and cost decreased overall as a result of an adjustment in Commission staff’s estimates.

$0
No
    No
    No
No
No
No
Uncollected
Valentina Deng 202 551-5778

  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.
05/26/2017


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