Information Collection

IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)

IC 42969 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⚠️ Notice: This information collection may be referencing outdated material.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

Documents and forms in this information collection
Document Name	Document Type
Form SEC 1696 IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	Form
formx-17a-5_2a.pdf www.sec.gov/files/formx-17a-5_2a.pdf	Instruction
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
SEC 1696 Focus Report Part !!A formx-17a-5_2f.pdf www.sec.gov/files/formx-17a-5_2f.pdf	Form

IC Title:

IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-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:

table that charts list of 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: 2,089

Number of Respondents for Small Entity: 895

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 90 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	8,356	-4,504	12,860
Annual IC Time Burden (Hours)	100,272	-54,048	154,320
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
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.