Document ID: SEC-2020-1128-0003
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals
Posted Date: 2023-08-09T04:00Z

[Federal Register Volume 88, Number 152 (Wednesday, August 9, 2023)]
[Notices]
[Pages 53944-53945]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-16992]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-154, OMB Control No. 3235-0122]

Proposed Collection; 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 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Rule 17a-10 (17 CFR 240.17a-
10), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) 
(``Exchange Act''). The Commission plans to submit this existing 
collection of information to the Office of Management and Budget 
(``OMB'') for extension and approval.
    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 exempted from the requirement to file monthly and 
quarterly reports pursuant to 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 
Rule 17a-5(a) 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 current hour burden under 
Rule 17a-10 is approximately 44,892 hours per year and the current cost 
burden is $0.
    Written comments are invited on: (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information 
collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology. 
Consideration will be given to comments and suggestions submitted by 
October 10, 2023.
    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.
    Please direct your written comments to: David Bottom, Director/
Chief

[[Page 53945]]

Information Officer, Securities and Exchange Commission, c/o John 
Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: 
[email protected].

    Dated: August 3, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-16992 Filed 8-8-23; 8:45 am]
BILLING CODE 8011-01-P