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INTERSTATES
SECURITIES ANDEXCHANGECOMMISSION
Washington,307.APPROVAL
OMB Number:
32350123
Expires:
March31,2016
Estimated average
burden. C.20549NUAL ANDRE
FORM X17A5Tnursperresponse......12.OO
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What is name ofbroker-dealer?
Name of broker-dealer refers to the official registered name of the brokerage firm.
Who is required to file name ofbroker-dealer?
Broker-dealers are required to file their official registered name.
How to fill out name ofbroker-dealer?
Broker-dealers can fill out their name by submitting the necessary paperwork to the appropriate regulatory authority.
What is the purpose of name ofbroker-dealer?
The purpose of the name of broker-dealer is to ensure transparency and accountability in the financial industry.
What information must be reported on name ofbroker-dealer?
The information reported on the name of broker-dealer typically includes the legal name of the firm and any variations or trade names.
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