Information Collection Request
Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
ICR 202305-3235-030 · OMB 3235-0123 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0123 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form SEC 1696 IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealers |
Form | Unchanged | Repair queued |
| Form SEC 1696 2023 proposed corrective and clarifying amendments to FOCUS Report Part II |
Form and Instruction | New | Repair queued |
| Form SEC 1410 IC6 - Annual audited reports |
Form | Modified | Repair queued |
| Form SEC 1695 IC1 - Monthly Reports |
Form | Modified | Missing upstream |
 3235-0123 Supporting Statement (2023 PTE Proposal).pdf |
Supporting Statement A | Uploaded 2023-05-31 | Repair queued |
| 34-87005 - Form X-17A-5 v2.pdf |
Supplementary Document | Uploaded 2021-07-29 | Repair queued |
IC Document Collections
IC2 - Rule 17a-5; Quarterly reports to be made by certain brokers and dealersICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0123 |
| Type of Information Collection | Revision of a currently approved collection |
| Previous ICR Reference No | 202107-3235-022 |
| Agency Tracking No | TM-270-155 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |