Annual audited 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⚠️ Notice: This information collection may be referencing outdated material.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 SEC 1410 Annual audited reports Form
SEC 1410 Focus Report Part III formx-17a-5_3.pdf www.sec.gov/files/formx-17a-5_3.pdf Form
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

IC Title:	Annual audited reports	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17-5

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC 1410	Focus Report Part III	formx-17a-5_3.pdf	https://www.sec.gov/files/formx-17a-5_3.pdf	Yes	Yes	Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,932	Number of Respondents for Small Entity: 1,235

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

Percentage of Respondents Reporting Electronically: 10 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	3,932	-718	4,650
Annual IC Time Burden (Hours)	47,184	-8,616	55,800
Annual IC Cost Burden (Dollars)	25,361	25,361	0

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA	EDGAR PIA 2016.pdf	05/26/2017

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.