OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0123 · SEC.

OMB 3235-0123

Rule 17a-5 under the Securities Exchange Act of 1934, 17 CFR 240. 17a-5, is a reporting rule for broker-dealers. The Commission recently amended Rule 17a-5 to require annual audited reports and related annual filings to be filed electronically in Inline XBRL through the Commission’s EDGAR system. The filings were previously made either in paper, via email, or voluntarily on the EDGAR system as PDF documents. The Commission is also allowing electronic signatures in Rule 17a-5 filings, which includes the FOCUS Report. The Commission is amending the instructions to Parts II, IIC, and IIA of the FOCUS Report to allow only one named officer’s signature when the signature belongs to the firm’s principal executive officer or principal financial officer (or their comparable officers). Finally, the Commission is making corrective and clarifying amendments to FOCUS Report Part II, technical amendments to FOCUS Report Part IIA and amendments to FOCUS Report Part IIC for consistency with FFIEC Form 031, which FOCUS Report Part IIC is modelled on. None of these amendments are expected to impact the ongoing burden of filing FOCUS Report Parts II, IIA or IIC.

The latest form for Rule 17a-5, Form X-17A-5 (FOCUS REPORT) expires 2029-03-31 and is listed under ICR 202506-3235-003.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0123: Form X-17A-5 filings .

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form SEC 1696 Focus Report Part !!AForm
Form SEC 1696 IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)Form
Form SEC 1696 Focus Report Part !!AForm
Form SEC 1696 IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)Form
Form SEC 1410 Focus Report Part IIIForm
Form SEC 1410 IC6 - Annual audited reportsForm
Form SEC 1695 Focus Report Part IIForm
Form SEC 1695 IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers)Form
3235-0123 Supporting Statement (2025) Finalv2.pdfSupporting Statement A
3235-0123 Supporting Statement (2025) Final.pdfSupporting Statement A
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers) Form
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers) Form
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers) Instruction
IC 26 2025 Amendment to Remove Oath or Affirmation Notarization Requirement Information collection
IC 25 2025 Amendments to CFTC Capital Computation Section of Focus Report Part II Information collection
IC 24 2025 Amendments to Focus Report Signature Requirements Information collection
IC 23 2025 Amendments Corrective and Clarifying Amendments to Focus Report Part IIA Information collection
IC 22 2025 Amendments Corrective and Clarifying Amendments to Focus Report Part II Information collection
IC 21 2025 Amendments to Require Filing Annual Audit in XBRL Information collection
IC 20 2025 amendment to Require Filing Annual Audits on EDGAR Information collection
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) Form
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) Form
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) Instruction
IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities Information collection
IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs Information collection
IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs Information collection
IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs Information collection
IC14 - Statement Regarding Change of Independent Public Accountant Information collection
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Information collection
IC12 - Statement Regarding Independent Public Accountant (Carrying or Clearing BD) Information collection
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Information collection
IC10 - Change in Fiscal Year End Information collection
IC9 - SIPC Audited Annual Reports Information collection
IC8 - Exemption Report Requirement Information collection
IC7 - Compliance Report Requirement Information collection
IC6 - Annual audited reports Form
IC6 - Annual audited reports Form
IC4 - Appendix E (ANC supplemental Quarterly reports) Information collection
IC5 - Appendix E (ANC supplemental) Annual reports Information collection
IC 3 - Appendix E (ANC supplemental Monthly reports) Information collection
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Form
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Form
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202506-3235-003 Revision of a currently approved collection 2025-06-18
202501-3235-025 No material or nonsubstantive change to a currently approved collection 2025-01-24
202305-3235-030 Revision of a currently approved collection 2023-06-01 Comment filed on proposed rule
202304-3235-019 Reinstatement with change of a previously approved collection 2023-10-05 Approved without change
202107-3235-022 Revision of a currently approved collection 2021-07-30 Approved without change
202005-3235-021 Extension without change of a currently approved collection 2020-08-07 Approved without change
201701-3235-012 Extension without change of a currently approved collection 2017-05-26 Approved without change
201606-3235-015 Revision of a currently approved collection 2016-07-01 Comment filed on proposed rule and continue
201405-3235-005 Revision of a currently approved collection 2014-05-15 Approved without change
201403-3235-017 Revision of a currently approved collection 2014-04-08 Preapproved
201312-3235-006 Revision of a currently approved collection 2013-12-20 Approved without change
201301-3235-006 Extension without change of a currently approved collection 2013-04-26 Approved with change
201111-3235-034 Revision of a currently approved collection 2011-12-13 Comment filed on proposed rule and continue
200912-3235-030 Extension without change of a currently approved collection 2010-02-25 Approved without change
200611-3235-007 Revision of a currently approved collection 2006-11-15 Approved without change
200405-3235-012 No material or nonsubstantive change to a currently approved collection 2004-05-17 Approved without change
200310-3235-028 Revision of a currently approved collection 2003-10-30 Approved without change
200108-3235-005 Extension without change of a currently approved collection 2001-08-14 Approved without change
199809-3235-005 Extension without change of a currently approved collection 1998-09-03 Approved without change
199509-3235-030 Extension without change of a currently approved collection 1995-09-19 Approved without change
199302-3235-003 Revision of a currently approved collection 1993-02-02 Approved without change
199001-3235-001 Reinstatement with change of a previously approved collection 1990-01-17 Approved without change
198904-3235-005 No material or nonsubstantive change to a currently approved collection 1989-04-03 Approved with change
198704-3235-004 Revision of a currently approved collection 1987-04-20 Approved without change
198403-3235-005 Revision of a currently approved collection 1984-03-12 Approved without change
198211-3235-016 Extension without change of a currently approved collection 1982-11-16 Approved without change
198109-3235-026 New collection (Request for a new OMB Control Number) 1981-09-21 Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
FormNameElectronic accessType
Form SEC 1696Focus Report Part !!Awww.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.