Notice2026-19617
Agency Information Collection Activities; 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
September 25, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 185 (Friday, September 25, 2026)</title>
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[Federal Register Volume 91, Number 185 (Friday, September 25, 2026)]
[Notices]
[Page 61013]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-19617]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0122]
Agency Information Collection Activities; 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, the
policies and procedures of which have been declared effective by the
Commission.
The Commission staff estimates that the total hour burden under
Rule 17a-10 is approximately 38,688 hours per year and the current cost
burden is $0.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-011">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-011</a> or email comment to
<a href="/cdn-cgi/l/email-protection#ce838c96e081838ce081879c8fe09d8b8d91aaabbda591a1a8a8a7adabbc8ea1a3ace0aba1bee0a9a1b8"><span class="__cf_email__" data-cfemail="460b041e68090b0468090f140768150305192223352d192920202f25233406292b246823293668212930">[email protected]</span></a> within 30 days of the day
after publication of this notice, by October 26, 2026.
Dated: September 22, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-19617 Filed 9-24-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on September 25, 2026.
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