Rule 17a-5, Form X-17A-5 (FOCUS REPORT)

Rule 17a-5 under the Securities Exchange Act of 1934, 17 CFR 240. 17a-5, is a reporting rule for broker-dealers. The Commission recently amended Rule 17a-5 to require annual audited reports and related annual filings to be filed electronically in Inline XBRL through the Commission’s EDGAR system. The filings were previously made either in paper, via email, or voluntarily on the EDGAR system as PDF documents. The Commission is also allowing electronic signatures in Rule 17a-5 filings, which includes the FOCUS Report. The Commission is amending the instructions to Parts II, IIC, and IIA of the FOCUS Report to allow only one named officer’s signature when the signature belongs to the firm’s principal executive officer or principal financial officer (or their comparable officers). Finally, the Commission is making corrective and clarifying amendments to FOCUS Report Part II, technical amendments to FOCUS Report Part IIA and amendments to FOCUS Report Part IIC for consistency with FFIEC Form 031, which FOCUS Report Part IIC is modelled on. None of these amendments are expected to impact the ongoing burden of filing FOCUS Report Parts II, IIA or IIC.

The latest form for Rule 17a-5, Form X-17A-5 (FOCUS REPORT) expires 2029-03-31 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0123: Form X-17A-5 filings .

IC2 - Rule 17a-5; FOCUS Report Part IIA: Quarterly reports (Non-Model Non-Clearing Broker Dealers)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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