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11111111111 14046975UNITED STATES TC :CITIES AND EXCHANGE Commit 't()CESS Washington, D.C. 205.,8 SectlonOMB APPROVALANNUAL AUDITED RE1 '7 Z01hours per responseFORMX17A5 Wash 'NATO DC part FFI 404
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Provide information about your investment objectives and risk tolerance.
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Anyone who wishes to engage in trading or investing in securities and wants to comply with the regulations set by the securities and exchange commission.
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Companies and organizations that deal with securities and exchanges, such as brokerage firms and investment banks.
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Curties and Exchange Commissions is a regulatory body that oversees the securities industry.
Individuals and entities involved in the securities industry are required to file with the SEC.
The form can be filled out electronically on the SEC's website.
The purpose is to provide transparency and oversight in the securities industry.
Information such as financial statements, ownership details, and business operations.
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