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UNITED STATES SECURITIES AND EXCHANGE COMMISSION20191024 12:20PM EDT Status: AcceptedFOCUS REPORTER X17A5(FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)PART II11(Please read instructions
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Step 1: Gather all the necessary information and documents such as personal details, business details, financial information, etc.
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The registrant/broker or dealer is a person or entity that is registered as a broker or dealer with the Securities and Exchange Commission (SEC) in the United States.
Any person or entity that meets the criteria to be registered as a broker or dealer with the SEC is required to file as a registrant/broker or dealer.
The registrant/broker or dealer form can be filled out online through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
The purpose of the registrant/broker or dealer filing is to provide the SEC with information about the businesses and activities of registered brokers and dealers.
The registrant/broker or dealer filing must include information such as financial statements, details of business operations, and any disciplinary actions or legal proceedings involving the broker or dealer.
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