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FORM X17A5UNITED STATESSECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549FOCUS REPORT OMB APPROVAL OMB Number: 32350123 Expires: August 31, 2020, Estimated average burden hours per response.

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Step 1: Start by reading the instructions provided with form x-17a-5 part i.

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Who needs form x-17a-5 part i?

01

Financial institutions, including banks, broker-dealers, and futures commission merchants, need to fill out form x-17a-5 part i.

02

Form x-17a-5 part i is required by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to monitor and regulate the financial activities of these institutions.

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

Form X-17A-5 Part I is a report that must be filed by certain securities broker-dealers with the Securities and Exchange Commission (SEC).

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

Securities broker-dealers are required to file Form X-17A-5 Part I.

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

Form X-17A-5 Part I can be filled out electronically using the SEC's EDGAR system or by submitting a paper form to the SEC.

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

The purpose of Form X-17A-5 Part I is to provide the SEC with information about a broker-dealer's financial condition.

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

Form X-17A-5 Part I requires information about a broker-dealer's net capital, margin requirements, and certain financial transactions.

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