OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0122 · SEC.

OMB 3235-0122

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

The latest form for Report on Income and Expense, Rule 17a-10 and Form X-17A-5 expires 2026-12-31 and is listed under ICR 202307-3235-003.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form sec 1696 Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).Form
Form sec 1696 Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)).Form
3235-0122.pdf Supplementary Document
3235-0122.pdf Supplementary Document
2023 Rule 17a-10 Supporting Statement 8.2.23.pdfSupporting Statement A
3235-0122 30 Day Notice.pdf Supplementary Document
3235-0122 60 Day Notice.pdf Supplementary Document
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). Form
Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)). Form

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202307-3235-003 Revision of a currently approved collection 2023-10-31 Approved without change
202007-3235-001 Extension without change of a currently approved collection 2020-09-21 Approved without change
201705-3235-015 Extension without change of a currently approved collection 2017-11-09 Approved without change
201406-3235-002 Extension without change of a currently approved collection 2014-09-17 Approved without change
201106-3235-003 Extension without change of a currently approved collection 2011-08-23 Approved without change
200807-3235-006 Extension without change of a currently approved collection 2008-09-16 Approved without change
200509-3235-004 Extension without change of a currently approved collection 2005-09-14 Approved without change
200207-3235-008 Extension without change of a currently approved collection 2002-07-10 Approved without change
199908-3235-015 Extension without change of a currently approved collection 1999-08-17 Approved without change
199609-3235-013 Extension without change of a currently approved collection 1996-09-16 Approved without change
199308-3235-022 Extension without change of a currently approved collection 1993-08-10 Approved without change
199101-3235-013 Reinstatement with change of a previously approved collection 1991-01-23 Approved without change
198710-3235-023 Extension without change of a currently approved collection 1987-10-27 Approved without change
198409-3235-008 Extension without change of a currently approved collection 1984-09-05 Approved without change
198109-3235-025 New collection (Request for a new OMB Control Number) 1981-09-21 Approved without change

OMB Details

Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10).

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
FormNameElectronic accessType
Form SEC 1675X-17a-5 Schedule Iwww.sec.gov/files/formx-17a-5_schedi.pdfForm and instruction
Form sec 1696FOCUS Report Part IIAwww.sec.gov/files/formx-17a-5_2f.pdfForm
Form www.sec.gov/files/formx-17a-5_2a.pdfInstruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.