Report on Income and Expense, Rule 17a-10 and Form X-17A-5

OMB 3235-0122

Rule 17a-10 was adopted in 1968 and requires brokers and dealers to provide financial and operational data.

The latest form for Report on Income and Expense, Rule 17a-10 and Form X-17A-5 expires 2023-11-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form sec 1696 Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). Form
Form sec 1696 Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)). Form
3235-0122.pdf Supplementary Document
3235-0122.pdf Supplementary Document
2023 Rule 17a-10 Supporting Statement 8.2.23.pdf Supporting Statement A
3235-0122 30 Day Notice.pdf Supplementary Document
3235-0122 60 Day Notice.pdf Supplementary Document
Report on Income and Expense, Rule 17a-10 (17 CFR 240.17a-10). Form
Schedule I (Form 17a-5 Schedule I), under Rule 17a-10(a)(2) (17 CFR 240.17a-10(a)(2)). Form

All Historical Document Collections

202307-3235-003 Approved without change	Revision of a currently approved collection	2023-10-31
202007-3235-001 Approved without change	Extension without change of a currently approved collection	2020-09-21
201705-3235-015 Approved without change	Extension without change of a currently approved collection	2017-11-09
201406-3235-002 Approved without change	Extension without change of a currently approved collection	2014-09-17
201106-3235-003 Approved without change	Extension without change of a currently approved collection	2011-08-23
200807-3235-006 Approved without change	Extension without change of a currently approved collection	2008-09-16
200509-3235-004 Approved without change	Extension without change of a currently approved collection	2005-09-14
200207-3235-008 Approved without change	Extension without change of a currently approved collection	2002-07-10
199908-3235-015 Approved without change	Extension without change of a currently approved collection	1999-08-17
199609-3235-013 Approved without change	Extension without change of a currently approved collection	1996-09-16
199308-3235-022 Approved without change	Extension without change of a currently approved collection	1993-08-10
199101-3235-013 Approved without change	Reinstatement with change of a previously approved collection	1991-01-23
198710-3235-023 Approved without change	Extension without change of a currently approved collection	1987-10-27
198409-3235-008 Approved without change	Extension without change of a currently approved collection	1984-09-05
198109-3235-025 Approved without change	New collection (Request for a new OMB Control Number)	1981-09-21