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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1675 X-17a-5 Schedule I	Form and Instruction	Modified	Available
Form sec 1696 FOCUS Report Part IIA	Form	Modified	Available
Form SEC 1675 X-17a-5 Schedule I	Form and Instruction	Modified	Available
Form sec 1696 FOCUS Report Part IIA	Form	Modified	Available
3235-0122_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-25	Available
3235-0122_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-22	Available
2026 Rule 17a-10 Supporting Statement.pdf	Supporting Statement A	Uploaded 2026-07-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34396	Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).	Form and Instruction	Modified	X-17a-5 Schedule I
34396	Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).	Form	Modified	FOCUS Report Part IIA
34396	Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).	Instruction	Modified
261066	Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)).	Form and Instruction	Modified	X-17a-5 Schedule I
261066	Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)).	Form	Modified	FOCUS Report Part IIA
261066	Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)).	Instruction	Modified

ICR Details

OMB Control No: 3235-0122	ICR Reference No: 202607-3235-011
Status: Received in OIRA	Previous ICR Reference No: 202307-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Report on Income and Expense, Rule 17a-10 and Form X-17A-5
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/25/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	3,224	3,741
Time Burden (Hours)	38,688	44,892
Cost Burden (Dollars)	0	0

---

Abstract: The primary purpose of Rule 17a-10 is to obtain the economic and statistical data necessary for an ongoing analysis of the securities industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-dealers that are exempted from the requirement to file monthly and quarterly reports pursuant to paragraph (a) of Exchange Act Rule 17a-5 (17 CFR 240.17a-5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X-17A-5 (17 CFR 249.617), and Schedule I of Form X-17A-5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to Rule 17a-5(a) to submit Schedule I of Form X-17A-5 with its Form X-17A-5 for the calendar quarter ending December 31 of each year. Paragraph (b) of Rule 17a-10 provides that the provisions of paragraph (a) do not apply to members of national securities exchanges or registered national securities associations that maintain records containing the information required by Form X-17A-5 and which transmit to the Commission copies of the records pursuant to a plan, the procedures and provisions of which have been declared effective by the Commission.

---

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

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 46204	07/22/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 61013	09/25/2026
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

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

---

ICR Summary of Burden

table that charts list 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	3,224	3,741	0	-517	0	0
Annual Time Burden (Hours)	38,688	44,892	0	-6,204	0	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The annual reporting burden decreased as a result of a reduction in the number of respondents. The changes are discussed in more detail in the attached Supporting Statement.

---

Annual Cost to Federal Government:

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

---

Common Form ICR:  No

---

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: 09/25/2026

---