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UNITED STATES0MB APPROVAL AND EXCHANGESECURITIESCOMMISSION0MBD. C 20549WashingtonNumberAprilEstimatedANUAL AUDITEDFORM10032320PARTREPaRjproce7A5X132350123Expireshours302013burdenaverage12.00perresponseSectionSECIIIc.pFILENUMBER8FACING

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What is form x-17a-5 file number?

Form X-17A-5 is an SEC filing for broker-dealers to report their financial condition, ensuring compliance with regulations.

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

Broker-dealers registered with the SEC are required to file Form X-17A-5.

How to fill out form x-17a-5 file number?

To fill out Form X-17A-5, provide financial information including balance sheets, income statements, and other pertinent details as required by the form.

What is the purpose of form x-17a-5 file number?

The purpose of Form X-17A-5 is to ensure that broker-dealers maintain transparency about their financial status and comply with regulatory requirements.

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

The form requires reporting of the broker-dealer's assets, liabilities, capital, and financial statements, among other financial details.

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