Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

ICR 202302-3235-005

OMB: 3235-0498

Federal Form Document

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0498 can be found here:

2024-10-08 - Extension without change of a currently approved collection

Forms and Documents

Document Name	Status
Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction	Removed
Form X-17A-5 Part II 2023 proposal to require FOCUS Report to be filed on SEC eFOCUS Form	New
Form X-17a-5 Part III 2023 proposed amendments to FOCUS Report signature requirement Form	New
Form X-17A-5 Part II 2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form	New
Form X-17A-5 Part II Form X-17A-5 Part II Form	New
Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden Form	New
Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Initial burden Form	New
Form X-17A-5 Part III Annual audited report Form	New
Rule 17a-12 Supporting Statement (Proposed Rule).pdf Supporting Statement A	2023-04-18

IC Document Collections

IC ID	Document Title	Status
35256	Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction	Removed
258559	2023 proposal to require FOCUS Report to be filed on SEC eFOCUS Form	New
258558	2023 proposed amendments to FOCUS Report signature requirement Form	New
258557	2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form	New
258556	Form X-17A-5 Part II Form	New
258555	2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden Form	New
258554	2023 proposal to require filing annual audit in Inline XBRL - Initial burden Form	New
258430	Annual audited report Form	New
204890	Rule 17a-12 Professional Accountant Review Requirements	Removed

ICR Details

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