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Rule 17a-5: FOCUS Reports - Monthly Reports
Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
OMB: 3235-0123
IC ID: 205430
OMB.report
SEC
OMB 3235-0123
ICR 201606-3235-015
IC 205430
( )
⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0123 can be found here:
2025-01-24 - No material or nonsubstantive change to a currently approved collection
2023-10-05 - Reinstatement with change of a previously approved collection
Documents and Forms
Document Name
Document Type
Form Focus Report Part
Rule 17a-5: FOCUS Reports - Monthly Reports
Form and Instruction
formx-17a-5_Part II (Instructions).pdf
www.sec.gov/forms
Instruction
Focus Report Part Form X-17A-5 - Focus Report Part I
formx-17a-5_Part I.pdf
www.sec.gov/forms
Form and Instruction
Focus Report Part Form X-17A-5 - Focus Report Part II
formx-17a-5_Part II.pdf
www.sec.gov/forms
Form
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
Rule 17a-5: FOCUS Reports - Monthly Reports
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 240.17a-5
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Form and Instruction
Focus Report Part I
Form X-17A-5 - Focus Report Part I
formx-17a-5_Part I.pdf
https://www.sec.gov/forms
Yes
Yes
Fillable Fileable
Form
Focus Report Part II
Form X-17A-5 - Focus Report Part II
formx-17a-5_Part II.pdf
https://www.sec.gov/forms
Yes
Yes
Fillable Fileable
Instruction
formx-17a-5_Part II (Instructions).pdf
https://www.sec.gov/forms
Yes
Yes
Printable Only
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
487
Number of Respondents for Small Entity:
19
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
5,844
-312
0
0
0
6,156
Annual IC Time Burden (Hours)
70,128
-3,744
0
0
0
73,872
Annual IC Cost Burden (Dollars)
0
0
0
0
0
0
Documents for IC
Title
Document
Date Uploaded
No associated records found
Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.
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