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INTERSTATES
AND EXCHANGESECURITIESD. C.20549Washington,ANNUAL AUDITED
FORM
t
PART lilNNOMBAPPROVAL
OMB Number:
32350123COMMISSIONFACINGExpires:
March 31, 2016,
Estimated average burdenssinghoursperresponse......12.00Section
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What is of brokers and dealers?
Brokers are individuals or firms that buy and sell securities on behalf of investors. Dealers are individuals or firms that buy and sell securities for their own account.
Who is required to file of brokers and dealers?
Brokers and dealers are required to file reports with regulatory authorities.
How to fill out of brokers and dealers?
Brokers and dealers can fill out the required reports electronically or manually, following the instructions provided by the regulatory authorities.
What is the purpose of of brokers and dealers?
The purpose of requiring brokers and dealers to file reports is to monitor their activities and ensure compliance with regulations.
What information must be reported on of brokers and dealers?
Brokers and dealers must report information such as trade details, customer accounts, and financial statements.
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