IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers

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⚠️ Notice: This information collection may be referencing outdated material.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 1696 IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Form
formx-17a-5_2a.pdf www.sec.gov/files/formx-17a-5_2a.pdf Instruction
SEC 1696 Focus Report Part !!A formx-17a-5_2f.pdf www.sec.gov/files/formx-17a-5_2f.pdf Form

Information Collection (IC) Details

IC Title:	IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers	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	SEC 1696	Focus Report Part !!A	formx-17a-5_2f.pdf	https://www.sec.gov/files/formx-17a-5_2f.pdf	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_2a.pdf	https://www.sec.gov/files/formx-17a-5_2a.pdf	Yes	Yes	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,215	Number of Respondents for Small Entity: 895

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

Percentage of Respondents Reporting Electronically: 90 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	12,860	-1,444	14,304
Annual IC Time Burden (Hours)	154,320	-17,328	171,648
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.