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

IC 42969 under ICR 202506-3235-003 · OMB 3235-0123.

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IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)
 
No Unchanged
 
Mandatory
 
17 CFR 240.17a-5

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

Economic Development Financial Sector Oversight

 

2,089 895
   
Private Sector Businesses or other for-profits
 
   90 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 8,356 0 0 0 0 8,356
Annual IC Time Burden (Hours) 100,272 0 0 0 0 100,272
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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