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OMB APPROVAL OMB Number: 32350123 Expires: May 2017 Estimated average burden hours per response...... 12.0017009168ANNUAL AUDITED REPORT SEC FORM X17A5 Mail Process PART III SEC FILE NUMBER37456Section FACING

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How to fill out form x-17a-5 sec part

01

To fill out form X-17A-5, SEC Part, follow these steps:

02

Start by downloading the form from the official SEC website.

03

Read the instructions provided with the form carefully to understand the requirements.

04

Fill in the basic information at the top of the form, such as the name of the individual or organization filing the report.

05

Provide the required financial information in the appropriate sections of the form, such as assets, liabilities, and net capital.

06

Include any additional information or attachments as requested by the form.

07

Double-check all the information entered to ensure accuracy and completeness.

08

Sign and date the form.

09

Submit the completed form to the SEC as instructed, either electronically or by mail.

Who needs form x-17a-5 sec part?

01

Form X-17A-5, SEC Part, is required by certain registered brokers and dealers under the Securities Exchange Act of 1934. It is used to report the financial and operational information of these entities to the SEC. Any registered broker or dealer who meets the criteria specified by the SEC needs to fill out this form.

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