Information Collection

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

IC 34397 under ICR 199809-3235-005 · OMB 3235-0123.

⚠️ Notice: This information collection may be referencing outdated material.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

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Information Collection (IC) Details

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IC Title:	Reports To Be Made by Certain Brokers and Dealers -- Rule 17a-5 and Form X-17A-5	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	1695				Yes	Yes
Form	1696				Yes	Yes

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 7,765	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 97 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	39,895	-20,505	60,400
Annual IC Time Burden (Hours)	478,740	-246,060	724,800
Annual IC Cost Burden (Dollars)	0	0	0

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