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1SEhours per response...... 12.00ANNUAL AUDITED REPORT
:
FORM X17A;
PART IIIRECENED0rF10E OF OMB Number:
32350123
Expires:
May 31, 2017,
Estimated average burden117009897SEC FILE NUMBER
868523ENFORCEMENTFACING
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Who needs form x-17a?
01
Form x-17a is typically required by financial institutions such as banks, credit unions, broker-dealers, and investment firms.
02
It is mandated by regulatory authorities to ensure compliance with financial regulations and to monitor the financial health and activities of these institutions.
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What is form x-17a?
Form X-17A is a financial report that must be filed by certain broker-dealers with the Securities and Exchange Commission (SEC).
Who is required to file form x-17a?
Broker-dealers registered with the SEC are required to file form X-17A.
How to fill out form x-17a?
Form X-17A can be filled out electronically and submitted through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
What is the purpose of form x-17a?
The purpose of form X-17A is to provide the SEC with important financial information about broker-dealers, including their net capital and reserve account balances.
What information must be reported on form x-17a?
Form X-17A requires broker-dealers to report their balance sheet, income statement, and other financial information.
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