# 2026-19617: SEC Extends Broker-Dealer Annual Financial Reporting Collection

2026-19617, Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-10, is a Federal Register notice from Securities and Exchange Commission published 2026-09-25; PRIA reads it as touching household money (as of 2026-10-02).

- Canonical: https://policyrisk.com/federal-register/2026-19617
- As of: 2026-10-02
- Plain-text twin of the page above; the HTML and this file carry the same facts.

## Facts
- Document number: 2026-19617
- Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-10
- Type: Notice
- Agencies: Securities and Exchange Commission
- Citation: 91 FR 61013
- Published: 2026-09-25
- Effective: unknown
- Comments close: not stated
- Significant: no
- Touches household money: yes
- Regulation identifier numbers: none
- Last updated: 2026-10-02

## In one line

SEC Extends Broker-Dealer Annual Financial Reporting Collection

## Summary

The SEC is asking to keep collecting important financial info from certain broker-dealers to keep an eye on the securities industry. This means some broker-dealers will keep filing key reports every year, with no new costs or big changes. The process stays the same, and the public can comment before the extension is approved.

## Effects PRIA read

- Annual filer requirement for exempt broker-dealers: cost, medium. If you run a broker-dealer that is exempt from the filing requirements of Exchange Act Rule 17a-5, you must file the Facing Page, a Statement of Income (Loss), the Part IIA balance sheet of Form X-17A-5, and Schedule I with the SEC no later than 17 business days after the end of each calendar year.
- Year‑end Schedule I filing for Rule 17a-5 filers: cost, low. If your broker-dealer is subject to paragraph (a) of Rule 17a-5, you must submit Schedule I of Form X-17A-5 with your Form X-17A-5 for the calendar quarter ending December 31 of each year.
- Exemption for exchange or association members with approved plans: benefit, low. If you are a member of a national securities exchange or a registered national securities association that maintains the Form X-17A-5 information and transmits copies to the Commission under a plan whose policies and procedures the Commission has declared effective, the filing requirements in parag…
- SEC estimate: 38,688 hours and $0 monetary cost: mixed, medium. The SEC staff estimates the total hour burden under Rule 17a-10 is approximately 38,688 hours per year and states the current monetary cost burden is $0.

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## Sources
- [2026-19617 on federalregister.gov](https://www.federalregister.gov/documents/2026/09/25/2026-19617/agency-information-collection-activities-submission-for-omb-review-comment-request-extension-rule)
- [2026-19617 as published (PDF)](https://www.govinfo.gov/content/pkg/FR-2026-09-25/pdf/2026-19617.pdf)

## Related
- [Previous: 2026-19616, Agency Information Collection Activities; Submission for OMB Review; Comment Re…](https://policyrisk.com/federal-register/2026-19616)
- [Next: 2026-19618, Agency Information Collection Activities; Submission for OMB Review; Comment Re…](https://policyrisk.com/federal-register/2026-19618)
- [All Federal Register documents](https://policyrisk.com/federal-register)

Source: PRIA, https://policyrisk.com/federal-register/2026-19617 (as of 2026-10-02).