IC6 - Annual audited reports

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0123 can be found here:

Documents and Forms

Document Name Document Type
Form SEC 1410 IC6 - Annual audited reports Form
SEC 1410 Focus Report Part III formx-17a-5_3.pdf www.sec.gov/files/formx-17a-5_3.pdf Form
SEC 1410 Focus Report Part III formx-17a-5_3.pdf www.sec.gov/files/formx-17a-5_3.pdf Form
EDGAR PIA 2016.pdf EDGAR PIA IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

IC Title:	IC6 - Annual audited reports	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17-5

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC 1410	Focus Report Part III	formx-17a-5_3.pdf	https://www.sec.gov/files/formx-17a-5_3.pdf	Yes	Yes	Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,679	Number of Respondents for Small Entity: 895

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

Percentage of Respondents Reporting Electronically: 10 %

	Approved	Previously Approved
Annual Number of Responses for this IC	3,679	3,679
Annual IC Time Burden (Hours)	44,148	44,148
Annual IC Cost Burden (Dollars)	28,512	28,512

Documents for IC

Title	Document	Date Uploaded
EDGAR PIA	EDGAR PIA 2016.pdf	05/26/2017

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