FOCUS Report Part II for Stand-Alone MSBSPs

Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0749 can be found here:

Documents and Forms

Document Name Document Type
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction
X-17A-5 Annual Reports Form X-17A-5, Part III (as amended by the final rulemaking).pdf Form and Instruction
X-17A-5 Annual Reports Form X-17A-5, Part III (as amended by the final rulemaking).pdf Form and Instruction

Information Collection (IC) Details

IC Title:	FOCUS Report Part II for Stand-Alone MSBSPs	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.18a-7

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	X-17A-5	Annual Reports	Form X-17A-5, Part III (as amended by the final rulemaking).pdf		Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 4	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Program Change Due to New Statute
Annual Number of Responses for this IC	48	48
Annual IC Time Burden (Hours)	245	245
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.