Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
IC 15 FOCUS Report Part II: Non-Model Broker-Dealer SBSDs Unchanged 1 240 0
IC 16 FOCUS Report Part II: Non-Model Broker-Dealer MSBSPs Unchanged 12 204 0
IC 17 FOCUS Report Part II: ANC Broker-Dealer SBSDs Unchanged 2 456 0
IC 18 FOCUS Report Part II: Non-Model Stand-alone Broker-Dealers with SBS Activities Unchanged 25 3000 0
IC 20 2025 amendment to Require Filing Annual Audits on EDGAR New 1498 7989 0
IC 21 2025 Amendments to Require Filing Annual Audit in XBRL New 3267 22324 5009400
IC 22 2025 Amendments Corrective and Clarifying Amendments to Focus Report Part II New 466 777 362082
IC 23 2025 Amendments Corrective and Clarifying Amendments to Focus Report Part IIA New 2946 4910 0
IC 24 2025 Amendments to Focus Report Signature Requirements New 3412 1136 3879444
IC 25 2025 Amendments to CFTC Capital Computation Section of Focus Report Part II New 284 71 0
IC 26 2025 Amendment to Remove Oath or Affirmation Notarization Requirement New 3267 5445 0
IC 3 - Appendix E (ANC supplemental Monthly reports) Unchanged 60 240 0
IC1 -FOCUS Report Part II: Monthly Reports (Non-Model Clearing Broker Dealers) Unchanged 5532 66384 0 Form SEC 1695 Focus Report Part II
Instruction
IC10 - Change in Fiscal Year End Unchanged 75 13 40
IC11 - SIPC Annual Assessment Reconciliation Form or Certification of Exclusion from Membership Form Unchanged 3404 17020 902
IC12 - Statement Regarding Independent Public Accountant (Carrying or Clearing BD) Unchanged 8 80 4
IC13 - Statement Regarding Independent Public Accountant (Non-carrying/Non-clearing) Unchanged 160 320 38
IC14 - Statement Regarding Change of Independent Public Accountant Unchanged 435 291 42
IC19 - Rule 17a-5; FOCUS Report Part IIA: Monthly reports (Non-Model Non-Clearing Broker-Dealers) Unchanged 11496 137952 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers) Unchanged 8356 100272 0 Form SEC 1696 Focus Report Part !!A
Instruction
IC4 - Appendix E (ANC supplemental Quarterly reports) Unchanged 20 160 0
IC5 - Appendix E (ANC supplemental) Annual reports Unchanged 5 200 0
IC6 - Annual audited reports Modified 3218 38616 0 Form SEC 1410 Focus Report Part III
IC7 - Compliance Report Requirement Unchanged 147 8820 22050000
IC8 - Exemption Report Requirement Unchanged 3071 21497 9213000
IC9 - SIPC Audited Annual Reports Unchanged 3404 1702 0
Total burden requested under this ICR: 54571 440119 40514952  
To view an IC, click on IC Title