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SCION 17017748C;ANNUAL AUDITED REPORT M00 FORM X17A5 PART III OMB APPROVAL OMB Number: 32350123 Expires: May 31, 2017, Estimated average burden hours per response...... 12.00 SEC FILE NUMBER(itfh851895MAY

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How to fill out form x-17a-5 m00 part

01

To fill out form x-17a-5 m00 part, follow these steps:

02

Start by entering the name and identifying information of the registered broker-dealer or investment adviser.

03

Provide details about the firm's balance sheet, including total assets, liabilities, and net worth.

04

Disclose information about the firm's income statement, including revenues, expenses, and net income.

05

Report any regulatory capital requirements and compare them to the firm's actual capital.

06

Provide information about the firm's custody and possession of customer funds and securities.

07

Summarize any material changes in the firm's financial condition since the last reporting period.

08

Complete any additional sections or attachments as required by the form instructions.

09

Review the completed form for accuracy and ensure all necessary signatures are obtained.

10

Submit the form to the appropriate regulatory authority within the specified deadline.

Who needs form x-17a-5 m00 part?

01

Form x-17a-5 m00 part is required by registered broker-dealers and investment advisers as mandated by the U.S. Securities and Exchange Commission (SEC).

02

It is used to report financial and operational information about the firm, helping to ensure compliance with regulatory requirements.

03

The form is necessary to provide transparency and protect the interests of clients and investors.

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What is form x-17a-5 m00 part?

Form X-17a-5 m00 part is a financial report required by the U.S. Securities and Exchange Commission (SEC) for broker-dealers.

Who is required to file form x-17a-5 m00 part?

Broker-dealers registered with the SEC are required to file form X-17a-5 m00 part.

How to fill out form x-17a-5 m00 part?

Form X-17a-5 m00 part can be filled out electronically using the SEC's EDGAR system.

What is the purpose of form x-17a-5 m00 part?

The purpose of form X-17a-5 m00 part is to provide the SEC with important financial information about broker-dealers.

What information must be reported on form x-17a-5 m00 part?

Form X-17a-5 m00 part requires broker-dealers to report their financial statements, capital requirements, and other key financial information.

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