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UNITED STATES AND EXCHANGE COMMISSIONSECURITIESD. C. 20549Washington,14042054ANNUALOMB APPROVAL OMB Number:AUDITEDREPORThoursperresponse......12.00FORM X17A5 PART little FACING SEC FILE NUMBER867647PAGEInformation Required of
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A broker-dealer is a firm or individual that is in the business of buying and selling securities on behalf of customers.
Broker-dealers are required to file with regulatory authorities such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
To fill out what is a broker-dealer, the firm or individual must provide information about their business operations, financial condition, and compliance with regulations.
The purpose of what is a broker-dealer is to ensure that firms and individuals in the securities industry operate in a manner that is fair, transparent, and in compliance with regulations.
Information that must be reported on what is a broker-dealer includes financial statements, customer complaints, regulatory actions, and other relevant disclosures.
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