Notice2023-23974
Submission for OMB Review; Comment Request; Extension: Rule 17a-10
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 31, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 209 (Tuesday, October 31, 2023)</title>
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[Federal Register Volume 88, Number 209 (Tuesday, October 31, 2023)]
[Notices]
[Page 74553]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-23974]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-154, OMB Control No. 3235-0122]
Submission for OMB Review; Comment Request; Extension: Rule 17a-
10
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and
Exchange Commission (``Commission'') has submitted to the Office of
Management and Budget (``OMB'') a request for extension of the
previously approved collection of information discussed below.
The primary purpose of Rule 17a-10 is to obtain the economic and
statistical data necessary for an ongoing analysis of the securities
industry. Paragraph (a)(1) of Rule 17a-10 generally requires broker-
dealers that are exempt from the filing requirements of paragraph (a)
of Exchange Act Rule 17a-5 (17 CFR 240.17a-5) to file with the
Commission the Facing Page, a Statement of Income (Loss), and balance
sheet from Part IIA of Form X-17A-5 \1\ (17 CFR 249.617), and Schedule
I of Form X-17A-5 not later than 17 business days after the end of each
calendar year.
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\1\ Form X-17A-5 is the Financial and Operational Combined
Uniform Single Report (``FOCUS Report''), which is used by broker-
dealers to provide certain required information to the Commission.
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Paragraph (a)(2) of Rule 17a-10 requires a broker-dealer subject to
paragraph (a) of Rule 17a-5 to submit Schedule I of Form X-17A-5 with
its Form X-17A-5 for the calendar quarter ending December 31 of each
year.
Paragraph (b) of Rule 17a-10 provides that the provisions of
paragraph (a) do not apply to members of national securities exchanges
or registered national securities associations that maintain records
containing the information required by Form X-17A-5 and which transmit
to the Commission copies of the records pursuant to a plan which has
been declared effective by the Commission.
The Commission staff estimates that the total hour burden under
Rule 17a-10 is approximately 44,892 hours per year and the total cost
burden is $0 per year. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information under
the PRA unless it displays a currently valid OMB control number.
The public may view background documentation for this information
collection at the following website: <a href="http://www.reginfo.gov">www.reginfo.gov</a>. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
Written comments and recommendations for the proposed information
collection should be sent by November 30, 2023 to (i) <a href="http://www.reginfo.gov/public/do/PRAMain">www.reginfo.gov/public/do/PRAMain</a> and (ii) David Bottom, Director/Chief Information
Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F
Street NE, Washington, DC 20549, or by sending an email to:
<a href="/cdn-cgi/l/email-protection#451517041a08242c29272a3d053620266b222a33"><span class="__cf_email__" data-cfemail="88d8dac9d7c5e9e1e4eae7f0c8fbedeba6efe7fe">[email protected]</span></a>.
Dated: October 26, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-23974 Filed 10-30-23; 8:45 am]
BILLING CODE 8011-01-P
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