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0 MB APPROVAL UNITEDSTATES0MBAND EXCHANGESECURITIESD.CWashingtonCOMMISSIONNumberExpires20549Estimated hoursANNUALREPORTAUDITEDSECFORM X17A5 PARTSecuritiesREPORTofRequiredActExchangeFOR THE PERIOD

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Who needs broker-dealer reports - federal?

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Broker-dealers who are registered with the Securities and Exchange Commission (SEC) or self-regulatory organizations (SROs) are required to file broker-dealer reports - federal.

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What is broker-dealer reports - federal?

Broker-dealer reports - federal are filings required by the Securities and Exchange Commission (SEC) that provide information about the financial condition and activities of broker-dealer firms.

Who is required to file broker-dealer reports - federal?

Broker-dealer firms registered with the SEC are required to file broker-dealer reports - federal.

How to fill out broker-dealer reports - federal?

Broker-dealer reports - federal can be filled out electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

What is the purpose of broker-dealer reports - federal?

The purpose of broker-dealer reports - federal is to provide transparency and oversight of broker-dealer firms in order to protect investors and maintain fair and efficient markets.

What information must be reported on broker-dealer reports - federal?

Broker-dealer reports - federal must include information such as financial statements, risk assessments, operational and compliance information, and more.

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