OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.

ICR 202407-3235-024 · OMB 3235-0199 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
2024 Rule 17a-5(c) Supporting Statement 8.15.pdf Supporting Statement A Uploaded 2024-11-08 Repair queued
89 FR 88841 (OMB 3235-0199).pdf Supplementary Document Uploaded 2024-11-08 Repair queued
89 FR 68225 (OMB 3235-0199).pdf Supplementary Document Uploaded 2024-11-04 Missing upstream
IC Document Collections
IC IDCollectionTypeStatusForm
34552 Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers Modified
214424 Rule 17a-5(c): Non-exempt firms sending balance sheet to the SEC Modified
214422 Rule17a-5(c): Non-exempt broker-dealers sending balance sheet to SROs Modified
214410 Rule 17a-5(c): Non-exempt firms sending balance sheets to customers Modified
199353 Rule 17a-5(c): Exempt firms sending balance sheets to SROs Modified
199352 Rule 17a-5(c): Exempt firms sending financial disclosure statements to the SEC Modified
199297 Rule 17a-5(c): Exempt firms sending balance sheets to customers Modified
ICR Details
3235-0199 202407-3235-024
Received in OIRA 202110-3235-009
SEC TM-270-199
Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.
Extension without change of a currently approved collection   No
Regular 11/08/2024
  Requested Previously Approved
36 Months From Approved 02/28/2025
57,005,298 55,640,957
327,444 228,024
0 0
Rule 17a-5(c) sets forth requirements for broker-dealers that carry customer accounts to provide financial statements to their customers. The purpose of the Rule is to ensure that customers of broker-dealers are provided with information concerning the financial condition of the firm that may be holding the customers' cash and securities so that the customers can judge whether the broker or dealer is financially sound.
US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
  
None
Not associated with rulemaking
  89 FR 68225 08/23/2024
89 FR 88841 11/08/2024
No
  Total Request 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 57,005,298 55,640,957 0 0 1,364,341 0
Annual Time Burden (Hours) 327,444 228,024 0 0 99,420 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
    No
    No
No
No
No
No
Timothy Fox 202 551-5687
  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.
11/08/2024