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

OMB 3235-0122

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 2023-11-30 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-09-21
Approved without change
Extension without change of a currently approved collection 2017-11-09
Approved without change
Extension without change of a currently approved collection 2014-09-17
Approved without change
Extension without change of a currently approved collection 2011-08-23
Approved without change
Extension without change of a currently approved collection 2008-09-16
Approved without change
Extension without change of a currently approved collection 2005-09-14
Approved without change
Extension without change of a currently approved collection 2002-07-10
Approved without change
Extension without change of a currently approved collection 1999-08-17
Approved without change
Extension without change of a currently approved collection 1996-09-16
Approved without change
Extension without change of a currently approved collection 1993-08-10
Approved without change
Reinstatement with change of a previously approved collection 1991-01-23
Approved without change
Extension without change of a currently approved collection 1987-10-27
Approved without change
Extension without change of a currently approved collection 1984-09-05
Approved without change
New collection (Request for a new OMB Control Number) 1981-09-21

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