Document ID: SEC-2020-1128-0004
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2023-10-31T04:00Z

[Federal Register Volume 88, Number 209 (Tuesday, October 31, 2023)]
[Notices]
[Page 74553]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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: www.reginfo.gov. 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) www.reginfo.gov/public/do/PRAMain 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: 
[email protected].

    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