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UNITED STATES SECURITIES AN EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 32350123 Expires: March 31, 2016, Estimated average burden ANNUAL AUDITED REPOfMail PrCICSSBfJVrresponse...:.:.

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What is form x-17a-5 part iii?

Form X-17A-5 Part III is a financial and operational report that certain broker-dealers are required to file with the Securities and Exchange Commission (SEC).

Who is required to file form x-17a-5 part iii?

Broker-dealers that meet certain criteria, such as those that are registered with the SEC and have a minimum net capital requirement, are required to file Form X-17A-5 Part III.

How to fill out form x-17a-5 part iii?

Form X-17A-5 Part III must be filled out accurately and completely, with information on the broker-dealer's financial and operational activities for the reporting period.

What is the purpose of form x-17a-5 part iii?

The purpose of Form X-17A-5 Part III is to provide the SEC with information about a broker-dealer's financial condition and operational activities in order to protect investors and maintain market integrity.

What information must be reported on form x-17a-5 part iii?

Information that must be reported on Form X-17A-5 Part III includes the broker-dealer's balance sheet, income statement, and information about its customer accounts and transactions.

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