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UNITED STATESSECURITIESANDEXCHANGECOMMIS
D. C 20549
WashingtonApril30Expires
Estimated2013burdenerresonse...1ANNUAL AUDITED REPORT
FORM X1 7AS
PARTaverageSECFILENUMBERLUetdt
FACING PAGE
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What is 17 cfr part 449?
17 CFR Part 449 pertains to the regulation of certain transactions in the securities industry, particularly regarding reporting requirements for participants in securities transactions.
Who is required to file 17 cfr part 449?
Entities that are registered as broker-dealers or investment advisers, or those involved in certain securities transactions, are required to file under 17 CFR Part 449.
How to fill out 17 cfr part 449?
To fill out 17 CFR Part 449, participants must complete the specific forms provided by the SEC, ensuring all required information pertaining to the transaction is accurately disclosed.
What is the purpose of 17 cfr part 449?
The purpose of 17 CFR Part 449 is to promote transparency and compliance within the securities market by requiring timely reporting of certain transactions.
What information must be reported on 17 cfr part 449?
Information that must be reported includes transaction details, parties involved, dates, amounts, and any significant data that impacts the understanding of the transaction.
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