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Technical Amendments to Form X-17A-5 Part IIA

A Rule by the Securities and Exchange Commission on 06/25/2026

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Published Document: 2026-12779 (91 FR 38275)

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

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Securities and Exchange Commission
  1. 17 CFR Part 249
  2. [Release No. 34-105746]

AGENCY:

Securities and Exchange Commission.

ACTION:

Final rule; technical amendments.

SUMMARY:

The Securities and Exchange Commission is adopting technical amendments to Form X-17A-5 (“FOCUS Report”) Part IIA under the Securities Exchange Act of 1934 (“Exchange Act”).

DATES:

The amendments are effective June 25, 2026.

FOR FURTHER INFORMATION CONTACT:

Raymond A. Lombardo, Assistant Director, or Valentina Minak Deng, Special Counsel, Office of Broker-Dealer Finances, at (202) 551-5500, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-7010.

SUPPLEMENTARY INFORMATION:

This Commission is adopting technical amendments to FOCUS Report Part IIA to: (a) remove an incorrect cross-reference to “15 U.S.C. 78:f(a)” and replace it with “15 U.S.C. 78ff(a)”; (b) remove an extraneous and incorrect reference to sub-line E. in line 19 in the Liabilities sub-section of the Statement of Financial Condition; (c) reverse an inadvertent switch of line items 1770 and 1780; [1] (d) remove an extra end parentheses that does not have a matching beginning parentheses; (e) re-label line item 4338 as line item 4238 for consistency with the line item number assigned to the same response field in Form X-17A-5 Part II; (f) remove an incorrect reference to “$2,500 capital category as per Rule 15c3-1” and replace it with “Limited business (mutual funds and/or variable annuities only)”; [2] and (g) correct incorrect references related to Exchange Act Rule 15c3-3.

Statutory Authority

We are adopting these technical amendments under the authority set ( printed page 38276) forth in sections 17(a) and 23(a) of the Exchange Act.

List of Subjects in 17 CFR Part 249

  • Reporting and recordkeeping requirements; Securities

Text of Amendments

For reasons set forth in the preamble, title 17, chapter II of the Code of Federal Regulations is amended as follows:

PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934

1. The general authority citation for part 249 continues to read, in part, as follows:

Authority: 15 U.S.C. 78a et seq. and 7201 et seq.;12 U.S.C. 5461 et seq.;18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted.

* * * * *

2. Amend Part IIA of Form X-17A-5 (referenced in § 249.617) by:

a. On the cover page, removing “ 15 U.S.C. 78:f(a)” and adding in its place “15 U.S.C. 78ff(a).”

b. In the Liabilities sub-section of the Statement of Financial Condition, removing “E.” after “19.”

c. In the Ownership Equity sub-section of the Statement of Financial Condition, removing “1780” and adding in its place “1770”.

d. In the Ownership Equity sub-section of the Statement of Financial Condition, removing “1770” and adding in its place “1780”.

e. In the Ownership Equity sub-section of the Statement of Financial Condition, removing ”)” after “1020”.

f. In the Net Income/Comprehensive Income sub-section of the Statement of Income (Loss) or Statement of Comprehensive Income, removing “4338” and adding in its place “4238”.

g. In the Exemptive Provision under Rule 15c3-3 sub-section, removing “If an exemption from Rule 15c3-1 is claimed” and adding in its place “If an exemption from Rule 15c3-3 is claimed”.

h. In the Exemptive Provision under Rule 15c3-3 sub-section, removing “$2,500 capital category as per Rule 15c3-1” and adding in its place “Limited business (mutual funds and/or variable annuities only)”.

i. In the Exemptive Provision under Rule 15c3-3 sub-section, removing “(k)(2)(A)” and adding in its place “(k)(2)(i)”.

j. In the Exemptive Provision under Rule 15c3-3 sub-section, removing “(k)(2)(B)” and adding in its place “(k)(2)(ii)”.

Note:

Part IIA of Form X-17A-5 will not appear in the Code of Federal Regulations.

Dated: June 22, 2026.

Stephanie J. Fouse,

Assistant Secretary.

Footnotes

1.  A line item number is assigned to each response field on the FOCUS Report, which facilitates efficient analysis and comparison of data across firms.

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2.   See Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction, Exchange Act release no. 87005B (May 27, 2021); 86 FR 31115 (June 11, 2021).

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[FR Doc. 2026-12779 Filed 6-24-26; 8:45 am]

BILLING CODE 8011-01-P

Published Document: 2026-12779 (91 FR 38275)