View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0123	ICR Reference No: 202506-3235-003
Status: Active	Previous ICR Reference No: 202501-3235-025
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 03/06/2026
	Date Received in OIRA: 06/18/2025
Terms of Clearance: supporting statement updated during OMB review

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2029	11/30/2026	11/30/2026
Responses	54,571	0	39,431
Time Burden (Hours)	440,119	0	397,467
Cost Burden (Dollars)	40,514,952	0	31,295,048

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	54,571	39,431	15,140
Annual Time Burden (Hours)	440,119	397,467	42,652
Annual Cost Burden (Dollars)	40,514,952	31,295,048	9,219,904

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission recently adopted a final rule related to electronic filing that would add new information collection requirements and that would remove one cost. These changes are discussed in more detail in the attached Supporting Statement.

Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. 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? No

Agency Contact: Valentina Deng 202 551-5778

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