View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0123
ICR Reference No:
201301-3235-006
Status:
Historical Active
Previous ICR Reference No:
200912-3235-030
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-155
Title:
Rule 17a-5 - Reports to be made by certain brokers and dealers
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved with change
Conclusion Date:
06/26/2013
Retrieve Notice of Action (NOA)
Date Received in OIRA:
04/26/2013
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
06/30/2016
36 Months From Approved
06/30/2013
Responses
27,558
0
29,370
Time Burden (Hours)
329,940
0
353,760
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 17a-5 and Form X-17A-5 provide for the basic documents for reporting the financial and operational condition of securities brokers and dealers.
Authorizing Statute(s):
US Code:
15 USC 78a
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
78 FR 12108
02/21/2013
30-day Notice:
Federal Register Citation:
Citation Date:
78 FR 24442
04/25/2013
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
7
IC Title
Form No.
Form Name
Annual Reports
SEC1410
Focus Report Part III
Annual audited reports
SEC1410
Focus Report Part III
Appendix E additional annual reports
Appendix E additional monthly reports
Appendix E additional quarterly reports
Monthly Reports
SEC1695
Focus Report Part II
Rule 17a-5; Quarterly reports to be made by certain brokers and dealers
SEC1696
Focus Report Part IIA
ICR Summary of Burden
Total Approved
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
27,558
29,370
0
9
-1,821
0
Annual Time Burden (Hours)
329,940
353,760
0
0
-23,820
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
Previously, at year end of 2009, the Commission estimated that there were approximately 5,190 registered brokers or dealers. At year end of 2009, there were approximately 29,370 total annual responses with the total annual time burden as 354,360 hours. However, at year end of 2011 the Commission estimated that there were approximately 4,802 registered brokers or dealers and 27,405 total annual responses with a total annual time burden of 329,940. Thus, the change in annual burden (23,820) is due to changes in the number of respondents that file the form pursuant to Rule 17a-5.
Annual Cost to Federal Government:
$33,225
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Kimberly Chehardy 202 551-5793
Common Form ICR:
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:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(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;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
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.
Certification Date:
04/26/2013
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