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16006248 INTERSTATES SECURITIES ANDEXCHANGECONLMISSION Washington, D.C. 20549OMB APPROVAL OMB Number: 32350123 Expires: May 31, 2017, gponseburden terlzooesANNUAL AUDITED REPORT Mail FORM X17A5 Section PART
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Gather all the necessary information and documents required to fill out the Securities and Exchange Commission form.
02
Obtain the appropriate form from the Securities and Exchange Commission website or office.
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Read and understand the instructions provided with the form.
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Provide accurate and complete information in each section of the form.
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Attach any supporting documents or disclosures as required.
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Review the filled-out form for any errors or omissions.
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Sign and date the form.
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Submit the completed form and any accompanying documents to the Securities and Exchange Commission through the prescribed method (online submission or physical submission).
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Keep a copy of the filled-out form and any related documents for your records.
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Follow up with the Securities and Exchange Commission if necessary to ensure the form is processed and acknowledged.

Who needs securities andexchangeconlmission?

01
Companies planning to offer securities to the public need to file with the Securities and Exchange Commission. This includes both public companies and private companies seeking to go public.
02
Investment advisors and brokers who engage in buying and selling securities on behalf of clients need to be registered with the Securities and Exchange Commission.
03
Individuals or entities involved in the issuance, trading, or sale of securities need to comply with the regulations enforced by the Securities and Exchange Commission.
04
Exchanges and clearing agencies that facilitate the trading and settlement of securities are subject to regulation by the Securities and Exchange Commission.
05
Investors who want to ensure the securities they purchase are compliant with the regulations enforced by the Securities and Exchange Commission would benefit from its existence.
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The general public, as the Securities and Exchange Commission aims to protect investors and maintain fair and efficient markets.
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The Securities and Exchange Commission (SEC) is a federal agency responsible for regulating securities markets in the United States.
Publicly traded companies, certain insiders, and other entities are required to file with the SEC.
SEC forms can be filled out electronically through the SEC's EDGAR system.
The SEC's main purpose is to protect investors and maintain fair, orderly, and efficient markets.
Information regarding financial performance, executive compensation, and potential conflicts of interest must be reported to the SEC.
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