Information Collection Request
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
ICR 202302-3235-005 · OMB 3235-0498 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0498 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. |
Form and Instruction | Removed | Repair queued |
| Form X-17A-5 Part II 2023 proposal to require FOCUS Report to be filed on SEC eFOCUS |
Form | New | Repair queued |
| Form X-17a-5 Part III 2023 proposed amendments to FOCUS Report signature requirement |
Form | New | Repair queued |
| Form X-17A-5 Part II 2023 proposed corrective and clarifying amendments to FOCUS Report Part II |
Form | New | Repair queued |
| Form X-17A-5 Part II Form X-17A-5 Part II |
Form | New | Repair queued |
| Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden |
Form | New | Repair queued |
| Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Initial burden |
Form | New | Repair queued |
| Form X-17A-5 Part III Annual audited report |
Form | New | Repair queued |
 Rule 17a-12 Supporting Statement (Proposed Rule).pdf |
Supporting Statement A | Uploaded 2023-04-18 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 35256 |  Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. |
Form and Instruction | Removed | |
| 258559 | 2023 proposal to require FOCUS Report to be filed on SEC eFOCUS |
Form | New | |
| 258558 | 2023 proposed amendments to FOCUS Report signature requirement |
Form | New | |
| 258557 | 2023 proposed corrective and clarifying amendments to FOCUS Report Part II |
Form | New | |
| 258556 | Form X-17A-5 Part II |
Form | New | |
| 258555 | 2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden |
Form | New | |
| 258554 | 2023 proposal to require filing annual audit in Inline XBRL - Initial burden |
Form | New | |
| 258430 | Annual audited report |
Form | New | |
| 204890 | Rule 17a-12 Professional Accountant Review Requirements |
Removed |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0498 |
| Type of Information Collection | Revision of a currently approved collection |
| Previous ICR Reference No | 202110-3235-010 |
| Agency Tracking No | TM-270-442 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |