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PUBLIC APPROVALSECQMB Number.
32350123
Expires:
August 31, 2020,
Estimated average burden
hours per response. 12.00IISSION....18005105Securities and ExchangeANNUAL AUDITED REPORT
FORM X17AQMARO5 2018SEC
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Form x-17a-q is typically required by financial institutions, such as broker-dealers or registered investment advisers, who are subject to regulatory reporting requirements.
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It is used for reporting financial and operational information to the relevant regulatory authority, such as the Securities and Exchange Commission (SEC) or Financial Industry Regulatory Authority (FINRA).
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What is form x-17a-q?
Form X-17A-5 is a financial and operational report that must be filed by securities broker-dealers.
Who is required to file form x-17a-q?
Securities broker-dealers are required to file Form X-17A-5.
How to fill out form x-17a-q?
Form X-17A-5 can be filled out online or submitted in paper form with the required financial and operational information.
What is the purpose of form x-17a-q?
The purpose of Form X-17A-5 is to provide regulators with important financial and operational information about securities broker-dealers.
What information must be reported on form x-17a-q?
Form X-17A-5 requires information such as balance sheet data, income statement data, and detailed information about customer accounts.
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