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

OMB 3235-0123

OMB 3235-0123

Section 17(a)(1) of the Securities Exchange Act of 1934 ("Exchange Act") provides that broker-dealers must make and keep records, furnish copies of the records, and make and disseminate reports as the Securities and Exchange Commission ("Commission"), by rule, prescribes. Section 17(e)(1)(A) of the Exchange Act requires every broker-dealer registered with the Commission to annually file with the Commission: a balance sheet and income statement "certified by an independent public accounting firm, or by a registered public accounting firm if the firm is required to be registered under the Sarbanes-Oxley Act of 2002" and such other financial statements (which shall, as the Commission specifies, be certified) and information concerning its financial condition as the Commission, by rule, may prescribe. A registered public accounting firm means a public accounting firm registered with the Public Company Accounting Oversight Board ("PCAOB"). Section 17(e)(2) provides that the Commission, by rule, may prescribe the form and content of the financial statements and the accounting principles and standards used in their preparation.

The latest form for Rule 17a-5, Form X-17A-5 (FOCUS REPORT) expires 2023-10-31 and can be found here.

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 .

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-08-07
Approved without change
Extension without change of a currently approved collection 2017-05-26
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-07-01
Approved without change
Revision of a currently approved collection 2014-05-15
Preapproved
Revision of a currently approved collection 2014-04-08
Approved without change
Revision of a currently approved collection 2013-12-20
Approved with change
Extension without change of a currently approved collection 2013-04-26
Comment filed on proposed rule and continue
Revision of a currently approved collection 2011-12-13
Approved without change
Extension without change of a currently approved collection 2010-02-25
Approved without change
Revision of a currently approved collection 2006-11-15
Approved without change
No material or nonsubstantive change to a currently approved collection 2004-05-17
Approved without change
Revision of a currently approved collection 2003-10-30
Approved without change
Extension without change of a currently approved collection 2001-08-14
Approved without change
Extension without change of a currently approved collection 1998-09-03
Approved without change
Extension without change of a currently approved collection 1995-09-19
Approved without change
Revision of a currently approved collection 1993-02-02
Approved without change
Reinstatement with change of a previously approved collection 1990-01-17
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-03
Approved without change
Revision of a currently approved collection 1987-04-20
Approved without change
Revision of a currently approved collection 1984-03-12
Approved without change
Extension without change of a currently approved collection 1982-11-16
Approved without change
New collection (Request for a new OMB Control Number) 1981-09-21
OMB Details

IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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.


© 2021 OMB.report | Privacy Policy