IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)

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

Documents and Forms

Document Name Document Type
Form SEC 1696 IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) Form
formx-17a-5_2a.pdf www.sec.gov/files/formx-17a-5_2a.pdf Instruction
formx-17a-5_2a.pdf www.sec.gov/files/formx-17a-5_2a.pdf Instruction
SEC 1696 Focus Report Part !!A formx-17a-5_2f.pdf www.sec.gov/files/formx-17a-5_2f.pdf Form
SEC 1696 Focus Report Part !!A formx-17a-5_2f.pdf www.sec.gov/files/formx-17a-5_2f.pdf Form

Information Collection (IC) Details

IC Title:	IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-5

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC 1696	Focus Report Part !!A	formx-17a-5_2f.pdf	https://www.sec.gov/files/formx-17a-5_2f.pdf	Yes	Yes	Fillable Fileable
Instruction			formx-17a-5_2a.pdf	https://www.sec.gov/files/formx-17a-5_2a.pdf	Yes	Yes	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 958	Number of Respondents for Small Entity: 895

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

Percentage of Respondents Reporting Electronically: 90 %

	Approved	Change Due to Adjustment in Agency Estimate
Annual Number of Responses for this IC	11,496	11,496
Annual IC Time Burden (Hours)	137,952	137,952
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.