Rule 17a-5: Annual Audited Reports

Rule 17a-5, Form X-17A-5 (FOCUS REPORT)

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

Document Name Document Type
Form Focus Report - Par Rule 17a-5: Annual Audited Reports Form and Instruction
Focus Report - Par Form X-17A-5 - Focus Report Part III formx-17a-5_Part III (Proposal).pdf www.sec.gov/forms Form and Instruction
Focus Report - Sch Form X-17A-5 - Focus Report Schedule I formx-17a-5_schedi.pdf www.sec.gov/forms Form and Instruction

Information Collection (IC) Details

IC Title:	Rule 17a-5: Annual Audited 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 III	Form X-17A-5 - Focus Report Part III	formx-17a-5_Part III (Proposal).pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable
Form and Instruction	Focus Report - Schedule I	Form X-17A-5 - Focus Report Schedule I	formx-17a-5_schedi.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 4,345	Number of Respondents for Small Entity: 1,508

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

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	4,345	4,282	63
Annual IC Time Burden (Hours)	52,140	51,384	756
Annual IC Cost Burden (Dollars)	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.