OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.

OMB 3235-0199 · SEC.

OMB 3235-0199

Rule 17a-5(c) sets forth requirements for broker-dealers that carry customer accounts to provide financial statements to their customers. The purpose of the Rule is to ensure that customers of broker-dealers are provided with information concerning the financial condition of the firm that may be holding the customers' cash and securities so that the customers can judge whether the broker or dealer is financially sound.

The latest form for Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers. expires 2027-12-31 and is listed under ICR 202407-3235-024.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2024 Rule 17a-5(c) Supporting Statement 8.15.pdfSupporting Statement A
89 FR 88841 (OMB 3235-0199).pdf Supplementary Document
89 FR 68225 (OMB 3235-0199).pdf Supplementary Document
Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers Information collection
Rule 17a-5(c): Non-exempt firms sending balance sheet to the SEC Information collection
Rule17a-5(c): Non-exempt broker-dealers sending balance sheet to SROs Information collection
Rule 17a-5(c): Non-exempt firms sending balance sheets to customers Information collection
Rule 17a-5(c): Exempt firms sending balance sheets to SROs Information collection
Rule 17a-5(c): Exempt firms sending financial disclosure statements to the SEC Information collection
Rule 17a-5(c): Exempt firms sending balance sheets to customers Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202407-3235-024 Extension without change of a currently approved collection 2024-11-08
202110-3235-009 Extension without change of a currently approved collection 2022-01-03 Approved without change
201804-3235-017 Extension without change of a currently approved collection 2018-08-09 Approved with change
201412-3235-018 Extension without change of a currently approved collection 2015-03-24 Approved without change
201109-3235-006 Extension without change of a currently approved collection 2011-12-21 Approved without change
200809-3235-012 Extension without change of a currently approved collection 2008-11-17 Approved without change
200512-3235-006 Extension without change of a currently approved collection 2005-12-12 Approved without change
200212-3235-008 Revision of a currently approved collection 2002-12-02 Approved without change
200108-3235-003 Extension without change of a currently approved collection 2001-08-13 Approved without change
199809-3235-003 Extension without change of a currently approved collection 1998-09-03 Approved without change
199508-3235-002 Extension without change of a currently approved collection 1995-08-10 Approved without change
199208-3235-009 Extension without change of a currently approved collection 1992-08-17 Approved without change
198910-3235-010 Extension without change of a currently approved collection 1989-10-23 Approved without change
198812-3235-001 Revision of a currently approved collection 1988-12-22 Approved without change
198508-3235-003 Extension without change of a currently approved collection 1985-08-09 Approved without change
198207-3235-001 Extension without change of a currently approved collection 1982-07-27 Approved without change
198110-3235-057 New collection (Request for a new OMB Control Number) 1981-10-27 Approved without change

OMB Details

Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight