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0 MB APPROVAL
0 MB Numbertltll1tlllSECURITIESExpires10035148Estimated
per28 2010
burdenaveragehours12.00response.ANNUAL AUDITED REPORT
FORM X17A5
PART32350123FebruarySEC FLENUMBER818463ifiFACING
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Who needs form x-17a5?
01
Form x-17a5 is required by financial institutions registered with the Securities and Exchange Commission (SEC).
02
It is used to report financial and operational information to the SEC.
03
Typically, broker-dealers and certain types of securities firms need to file this form.
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Any entity that meets the regulatory requirements set by the SEC for filing form x-17a5 is obligated to do so.
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What is form x-17a5?
Form X-17a5 is a financial report required to be filed by broker-dealers with the Securities and Exchange Commission (SEC).
Who is required to file form x-17a5?
Broker-dealers are required to file Form X-17a5.
How to fill out form x-17a5?
Form X-17a5 should be completed with accurate financial information and submitted electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
What is the purpose of form x-17a5?
The purpose of Form X-17a5 is to provide the SEC with financial information about broker-dealers to help ensure compliance with regulatory requirements.
What information must be reported on form x-17a5?
Information such as balance sheet data, income statement information, and details on customer accounts must be reported on Form X-17a5.
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