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

1A line item number is assigned to each response field on the FOCUS Report, which facilitates efficient analysis and comparison of data across firms. 2See 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). SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 249 [Release No. 34–105746] Technical Amendments to Form X– 17A–5 Part IIA 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

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.

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• 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. [FR Doc. 2026–12779 Filed 6–24–26; 8:45 am] BILLING CODE 8011–01–P