OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 17a-5; Reports to be made by certain brokers and dealers

ICR 200912-3235-030 · OMB 3235-0123 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Form X-17A5 Rule 17a-5; Reports to be made by certain brokers and dealers Form and Instruction Modified Repair queued
2009 17a-5 Supporting Statement.doc Supporting Statement A Uploaded 2010-01-20 Available
IC Document Collections
IC IDCollectionTypeStatusForm
42969 Rule 17a-5; Reports to be made by certain brokers and dealers Form and Instruction Modified
ICR Details
3235-0123 200912-3235-030
Historical Active 200611-3235-007
SEC TM-270-155
Rule 17a-5; Reports to be made by certain brokers and dealers
Extension without change of a currently approved collection   No
Regular
Approved without change 04/16/2010
Retrieve Notice of Action (NOA) 02/25/2010
  Inventory as of this Action Requested Previously Approved
04/30/2013 36 Months From Approved 04/30/2010
29,370 0 36,387
353,760 0 434,400
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.
US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None
Not associated with rulemaking
  74 FR 64101 12/07/2009
75 FR 8759 02/25/2010
No
1
IC Title Form No. Form Name
Rule 17a-5; Reports to be made by certain brokers and dealers X-17A5 Form X-17A5 (Focus Report)
  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 29,370 36,387 0 0 -7,017 0
Annual Time Burden (Hours) 353,760 434,400 0 0 -80,640 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
Previously, at year end of 2005, the Commission estimated that there were approximately 6,200 registered brokers or dealers. At year end of 2005, there were approximately 36,387 total annual responses with the total annual hour burden as 434,400. However, as stated above, at year end of 2008 the Commission estimated that there were approximately 5,190 brokers or dealers and 29,370 total annual responses and with a total annual hour burden as 353,760. Thus, the change in annual burden (80,640) is due to changes in the number of respondents that file the form pursuant to Rule17a-5.
$48,750
No
No
Uncollected
Uncollected
No
Uncollected
Leigh Bothe 2125515511
  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.
02/25/2010