Rule 17a-5, Form X-17A-5 (FOCUS REPORT)

ICR 202305-3235-030

OMB: 3235-0123

Federal Form Document

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0123 can be found here:

2023-10-05 - Reinstatement with change of a previously approved collection

Forms and Documents

Document Name	Status
Form SEC 1696 IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Form	Unchanged
Form SEC 1696 2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form and Instruction	New
Form SEC 1410 IC6 - Annual audited reports Form	Modified
Form SEC 1695 IC1 - Monthly Reports Form	Modified
3235-0123 Supporting Statement (2023 PTE Proposal).pdf Supporting Statement A	2023-05-31
34-87005 - Form X-17A-5 v2.pdf Supplementary Document	2021-07-29

IC Document Collections

IC ID	Document Title	Status
42969	IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers Form	Unchanged
260482	2023 proposed amendments to FOCUS Report signature requirement	New
260481	2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form and Instruction	New
260480	2023 proposal to require filing annual audit in Inline XBRL – Ongoing burden	New
260479	2023 proposal to require filing annual audit in Inline XBRL – Initial burden	New
260478	2023 proposal to require filing annual audit on EDGAR	New
248627	IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities	Modified
248626	IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs	Modified
248624	IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs	Modified
248623	IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs	Modified
226203	IC14 - Statement Regarding Change of Independent Public Accountant	Unchanged
226202	IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing)	Unchanged
226201	IC12 - Statement Regarding Independent Public Accountant	Unchanged
226200	IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form	Unchanged
226060	IC10 - Change in Fiscal Year End	Unchanged
209694	IC9 - SIPC Audited Reports	Unchanged
209693	IC8 - Exemption Report Requirement	Unchanged
209692	IC7 - Compliance Report Requirement	Unchanged
205674	IC6 - Annual audited reports Form	Modified
205673	IC4 - Appendix E additional quarterly reports	Modified
205672	IC5 - Appendix E additional annual reports	Modified
205506	IC 3 - Appendix E additional monthly reports	Modified
205430	IC1 - Monthly Reports Form	Modified

ICR Details