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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1696 Focus Report Part !!A	Form	Unchanged	Available
Form SEC 1696 IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	Form	Unchanged	Repair queued
Form SEC 1696 Focus Report Part !!A	Form	Unchanged	Available
Form SEC 1696 IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	Form	Unchanged	Repair queued
Form SEC 1410 Focus Report Part III	Form	Unchanged	Available
Form SEC 1410 IC6 - Annual audited reports	Form	Unchanged	Repair queued
Form SEC 1695 Focus Report Part II	Form	Unchanged	Available
Form SEC 1695 IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)	Form	Unchanged	Repair queued
3235-0123 Justification for Non-Substantive Non-Material Change.pdf	Justification for No Material/Nonsubstantive Change	Uploaded 2025-01-23	Available
3235-0123 Justification for Non-Substantive Non-Material Change.pdf	Justification for No Material/Nonsubstantive Change	Uploaded 2025-01-23	Available
3235-0123 Supporting Statement (2025 Nonsubstantive Change).pdf	Supporting Statement A	Uploaded 2025-01-23	Available
3235-0123 Supporting Statement (2025 Nonsubstantive Change).pdf	Supporting Statement A	Uploaded 2025-01-23	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42969	IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	Form	Unchanged	Focus Report Part !!A
42969	IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	Form	Unchanged
42969	IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	Instruction	Unchanged
260018	IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	Form	Unchanged	Focus Report Part !!A
260018	IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	Form	Unchanged
260018	IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	Instruction	Unchanged
248627	IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities		Unchanged
248626	IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs		Unchanged
248624	IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs		Unchanged
248623	IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs		Unchanged
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 (Carrying or Clearing BD)		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 Annual Reports		Unchanged
209693	IC8 - Exemption Report Requirement		Unchanged
209692	IC7 - Compliance Report Requirement		Unchanged
205674	IC6 - Annual audited reports	Form	Unchanged	Focus Report Part III
205674	IC6 - Annual audited reports	Form	Unchanged
205673	IC4 - Appendix E (ANC supplemental Quarterly reports)		Unchanged
205672	IC5 - Appendix E (ANC supplemental) Annual reports		Unchanged
205506	IC 3 - Appendix E (ANC supplemental Monthly reports)		Unchanged
205430	IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)	Form	Unchanged	Focus Report Part II
205430	IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)	Form	Unchanged
205430	IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)	Instruction	Unchanged

ICR Details

OMB Control No: 3235-0123	ICR Reference No: 202501-3235-025
Status: Historical Active	Previous ICR Reference No: 202304-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM-270-155
Title: Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/26/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/24/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2026	11/30/2026	11/30/2026
Responses	39,431	0	39,431
Time Burden (Hours)	397,467	0	397,467
Cost Burden (Dollars)	31,295,048	0	31,295,048

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Abstract: Rule 17a-5(a)(1) under the Securities Exchange Act requires broker-dealers to file periodic reports on Form X-17A-5, the Financial and Operational Combined Uniform Single Report (“FOCUS Report”). The SEC recently made conforming amendments to the FOCUS Report to reflect a change in other SEC rules to permit certain broker-dealers to use a 2 percent rather than a 3 percent haircut on customer-related receivables

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Authorizing Statute(s): US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  

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 50231	08/01/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 69241	10/05/2023
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 19

table that charts list of burden

IC Title	Form No.	Form Name
IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs
IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs
IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs
IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities
IC 3 - Appendix E (ANC supplemental Monthly reports)
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)	SEC 1695	Focus Report Part II
IC10 - Change in Fiscal Year End
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form
IC12 - Statement Regarding Independent Public Accountant (Carrying or Clearing BD)
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing)
IC14 - Statement Regarding Change of Independent Public Accountant
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	SEC 1696	Focus Report Part !!A
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)	SEC 1696	Focus Report Part !!A
IC4 - Appendix E (ANC supplemental Quarterly reports)
IC5 - Appendix E (ANC supplemental) Annual reports
IC6 - Annual audited reports	SEC 1410	Focus Report Part III
IC7 - Compliance Report Requirement
IC8 - Exemption Report Requirement
IC9 - SIPC Audited Annual Reports

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ICR Summary of Burden

table that charts list of burden

	Total Approved	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	39,431	39,431	0	0	0	0
Annual Time Burden (Hours)	397,467	397,467	0	0	0	0
Annual Cost Burden (Dollars)	31,295,048	31,295,048	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: 01/24/2025

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