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UNITED STATES
SECURITIESANDEXCHANGECOMMISSION
Washington, OMB APPROVALOMBNumber:SEC
o SD. C.20549AUDITED RE
WORM X17A5
PART 111ANNUAL15046237Expires:32350123March 31, 2016imated average burdenursperresponse......12.00E
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Who needs worm x-17a-5?
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Worm x-17a-5 is typically needed by financial institutions, specifically broker-dealers registered with the Securities and Exchange Commission (SEC). It is a required form that helps ensure compliance with regulatory requirements and provides information about a firm's financial condition, activities, and any potential violations. Therefore, any broker-dealer subject to SEC regulations and oversight would need to fill out worm x-17a-5.
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What is worm x-17a-5?
Worm X-17a-5 is a regulatory form required in the financial industry for reporting certain information.
Who is required to file worm x-17a-5?
Financial institutions and broker-dealers are required to file Worm X-17a-5.
How to fill out worm x-17a-5?
Worm X-17a-5 is typically filled out electronically through regulatory reporting systems.
What is the purpose of worm x-17a-5?
The purpose of Worm X-17a-5 is to ensure transparency and compliance within the financial industry.
What information must be reported on worm x-17a-5?
Worm X-17a-5 requires reporting of financial transactions, positions, and other relevant data.
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