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OfIUNITEDSTATES EURITIESANDEXCHANGE COMMISSION16013671OMB APPROVAL OMB Number: 32350123 March 31, 2016, Expires: SE. Estimated average burden Washington, D.C. 20549ANNUAL AUDITED REPO FORM X17A5 PART

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What is Securities and Exchange Commission?

The Securities and Exchange Commission (SEC) is a regulatory agency that oversees the securities industry, enforces securities laws, and protects investors.

Who is required to file Securities and Exchange Commission?

Companies listed on stock exchanges, securities broker-dealers, investment advisors, and other entities involved in the securities market are required to file with the SEC.

How to fill out Securities and Exchange Commission?

Companies can file forms electronically through the SEC's online filing system or submit the required forms by mail.

What is the purpose of Securities and Exchange Commission?

The purpose of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

What information must be reported on Securities and Exchange Commission?

Companies must report financial information, business operations, executive compensation, and other relevant information to the SEC.

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