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0 MB APPROVAL 0 MB UNITED STATES D. C Washington 09059811 20549 28 2010 Estimated COMMISSION burden hours average per response...12.00 ANNUAL AUDITED REPORT FORM X1 7A5 PART 32350123 Expires February

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What is form x-1 7a-5 sec?

Form X-17A-5 is a report filed by broker-dealers with the Securities and Exchange Commission (SEC) to provide information about their financial condition and compliance with securities regulations.

Who is required to file form x-1 7a-5 sec?

Broker-dealers registered with the SEC are required to file Form X-17A-5 to report their financial and operational performance.

How to fill out form x-1 7a-5 sec?

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

What is the purpose of form x-1 7a-5 sec?

The purpose of Form X-17A-5 is to provide the SEC with information about broker-dealers' financial health, compliance with regulations, and protection of customer assets.

What information must be reported on form x-1 7a-5 sec?

Form X-17A-5 requires broker-dealers to report their balance sheet, income statement, computation of net capital, and other financial and operational information.

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