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Federal forms, ICRs, and supporting documents

Information Collection Request

Reports To Be Made by Certain Brokers and Dealers -- Rule 17a-5 and Form X-17A-5

ICR 199809-3235-005 · OMB 3235-0123 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
IC IDCollectionTypeStatusForm
34397 Reports To Be Made by Certain Brokers and Dealers -- Rule 17a-5 and Form X-17A-5 Form Migrated
ICR Details
3235-0123 199809-3235-005
Historical Active 199509-3235-030
SEC
Reports To Be Made by Certain Brokers and Dealers -- Rule 17a-5 and Form X-17A-5
Extension without change of a currently approved collection   No
Regular
Approved without change 10/24/1998
Retrieve Notice of Action (NOA) 09/03/1998
  Inventory as of this Action Requested Previously Approved
10/31/2001 10/31/2001 10/31/1998
39,895 0 60,400
478,740 0 724,800
0 0 0
Rule 17a-5 and form X-17A-5 provide for the basic documents for reporting the financial and operational condition of securities brokers and dealers.
None
None
No
1
IC Title Form No. Form Name
Reports To Be Made by Certain Brokers and Dealers -- Rule 17a-5 and Form X-17A-5 1695, 1696
  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 39,895 60,400 0 0 -20,505 0
Annual Time Burden (Hours) 478,740 724,800 0 0 -246,060 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
  No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
09/03/1998