Information Collection

IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)

IC 205430 under ICR 202304-3235-019 · 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⚠️ Notice: This information collection may be referencing outdated material.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

Document Name Document Type
Form SEC 1695 IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Form
formx-17a-5_22.pdf www.sec.gov/files/formx-17a-5_22.pdf Instruction
formx-17a-5_22.pdf www.sec.gov/files/formx-17a-5_22.pdf Instruction
SEC 1695 Focus Report Part II formx-17a-5_2.pdf www.sec.gov/files/formx-17a-5_2.pdf Form
SEC 1695 Focus Report Part II formx-17a-5_2.pdf www.sec.gov/files/formx-17a-5_2.pdf Form

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker 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 1695	Focus Report Part II	formx-17a-5_2.pdf	https://www.sec.gov/files/formx-17a-5_2.pdf	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_22.pdf	https://www.sec.gov/files/formx-17a-5_22.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: 461	Number of Respondents for Small Entity: 0

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	5,532	12	5,520
Annual IC Time Burden (Hours)	66,384	144	66,240
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.