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Tl S1 OMB APPROVAL. OMB Number: 32350123 Expires: March 31, 2016, Estimated average burden 12.00 hours per response t SION 16013400 ANNUAL AUDITED REPORT FORM Y17A5 PART III SEC: t mile NUMBER 838327
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Form y-17a-5 - sec is required by registered broker-dealers and certain other securities firms.
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Broker-dealers and securities firms subject to certain financial responsibility rules outlined by the SEC need to fill out this form.
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Entities that fall under the criteria specified by the SEC should ensure they file form y-17a-5 - sec.
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What is form y-17a-5 - sec?
Form Y-17A-5 - SEC is a financial report required to be filed by certain securities brokers and dealers with the Securities and Exchange Commission.
Who is required to file form y-17a-5 - sec?
Securities brokers and dealers are required to file Form Y-17A-5 - SEC.
How to fill out form y-17a-5 - sec?
Form Y-17A-5 - SEC must be completed with accurate financial information and submitted electronically to the SEC.
What is the purpose of form y-17a-5 - sec?
The purpose of Form Y-17A-5 - SEC is to provide the SEC with financial information about securities brokers and dealers.
What information must be reported on form y-17a-5 - sec?
Form Y-17A-5 - SEC requires reporting of financial statements, capital requirements, and other relevant financial information.
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