Report on Income and Expense, Rule 17a-10 and Form X-17A-5

Forms and Documents

Document Name	Status
Form sec 1696 Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). Form	Modified
Form sec 1696 Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)). Form	New
3235-0122.pdf Supplementary Document	2023-10-31
3235-0122.pdf Supplementary Document	2023-10-31
2023 Rule 17a-10 Supporting Statement 8.2.23.pdf Supporting Statement A	2023-08-02
3235-0122 30 Day Notice.pdf Supplementary Document	2020-09-21
3235-0122 60 Day Notice.pdf Supplementary Document	2020-09-21

IC Document Collections

IC ID	Document Title	Status
34396	Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). Form	Modified
261066	Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)). Form	New

ICR Details

OMB Control No: 3235-0122	ICR Reference No: 202307-3235-003
Status: Received in OIRA	Previous ICR Reference No: 202007-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM-270-154
Title: Report on Income and Expense, Rule 17a-10 and Form X-17A-5
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/31/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2023
Responses	3,741	46
Time Burden (Hours)	44,892	552
Cost Burden (Dollars)	0	0

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Abstract: Rule 17a-10 was adopted in 1968 and requires brokers and dealers to provide financial and operational data.

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Authorizing Statute(s): US Code: 15 USC 78o(c)(3), 78q(a), 78w(a) Name of Law: Sections 15(c)(3), 17(a) and 23(a) of the Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 53944	08/09/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 74553	10/31/2023
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).	SEC 1675, sec 1696	FOCUS Report Part IIA ,   X-17a-5 Schedule I
Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)).	SEC 1675, sec 1696	FOCUS Report Part IIA ,   X-17a-5 Schedule I

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	3,741	46	0	0	3,695	0
Annual Time Burden (Hours)	44,892	552	0	0	44,340	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/31/2023

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