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Form x 17a 5Form X 17a 5Page 1form x 17a 5Page 2form x 17a 5Page 3form x 17a 5form x 17a 5 PDF ANNUAL AUDITED REPORT FORM X17A5 PART III OMB APPROVAL OMB Number: 32350123 Expires: August 31, 2020,

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What is form x 17a 5?

Form X-17A-5 is a financial and operational report that must be filed by certain registered broker-dealers with the Securities and Exchange Commission (SEC) and the broker-dealer's designated examining authority.

Who is required to file form x 17a 5?

Registered broker-dealers are required to file Form X-17A-5 with the SEC and their designated examining authority.

How to fill out form x 17a 5?

Form X-17A-5 can be filled out electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

What is the purpose of form x 17a 5?

The purpose of Form X-17A-5 is to provide regulators with detailed information about a broker-dealer's financial condition, operations, and compliance with regulatory requirements.

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

Information that must be reported on Form X-17A-5 includes financial statements, number of customer accounts, regulatory capital, and details about the broker-dealer's business activities.

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