SEC Extends Rule 17a-10 Information Collection
Broker-dealers subject to Rule 17a-10 must continue filing the FOCUS Report and Schedule I under the extended collection, with comments due Oct 26 2026.
On September 22, 2026, the Securities and Exchange Commission submitted to the Office of Management and Budget a request to extend the information collection previously approved under Rule 17a-10, OMB Control No. 3235-0122 (FR Doc No. 2026-19617). The extension is made pursuant to the Paperwork Reduction Act of 1995 and maintains the current reporting obligations for the covered entities.
Rule 17a-10 requires broker-dealers exempt from the filing requirements of Rule 17a-5 to file with the Commission the Facing Page, a Statement of Income (Loss), and the balance sheet from Part IIA of Form X-17A-5 (the FOCUS Report), together with Schedule I of Form X-17A-5, no later than 17 business days after the end of each calendar year. Broker-dealers subject to Rule 17a-5 must also submit Schedule I for the calendar quarter ending December 31 of each year. The rule does not apply to members of national securities exchanges or registered national securities associations that transmit the required records pursuant to an approved plan.
The Commission estimates the total annual burden of the Rule 17a-10 collection at approximately 38,688 hours, with a current cost burden of $0.
The public may review the collection request at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-011 and submit comments by email to the address provided in the notice. Comments must be received within 30 days of the notice's publication, that is, on or before October 26, 2026.
The notice is signed by Sherry R. Haywood, Assistant Secretary, and references Billing Code 8011-01-P.
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