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11017903AND EXCHANGECOMMISSIONSECURITIESD.CWashingtonANNUAL AUDIT
FORM X17
PARTSECIII
8FACING
InformationSecuritiesREPORTFOR THE of BrokersRequiredand Dealers17Wereunderand Rule01/01/0PERIOD BEGINNING
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What is and exchangecommission?
The Securities and Exchange Commission (SEC) is a government agency responsible for regulating the securities industry in the United States.
Who is required to file and exchangecommission?
Publicly traded companies, investment firms, and certain other entities are required to file reports with the SEC.
How to fill out and exchangecommission?
Reports can be filed electronically through the SEC's EDGAR system following the guidelines provided by the agency.
What is the purpose of and exchangecommission?
The SEC's main purpose is to protect investors, maintain fair and efficient markets, and facilitate capital formation.
What information must be reported on and exchangecommission?
Entities must report financial information, business operations, executive compensation, and other relevant data.
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