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APPROVAL 18001440FEBe6 2014OMB Number:32350123Expires: August 31, 2020, Estimated average burdenRECEIVEDANNUAL AUDITED FORM X17A RE ORT.hoursperresponse......12.00 SEC FILE LUMBERYARD little FACINGPAGEInformation Required
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The X-17A report is a form used by broker-dealers to provide financial and operational information to regulators, ensuring compliance with securities laws and regulations.
All registered broker-dealers are required to file the X-17A report.
To fill out the X-17A report, broker-dealers must gather financial data, operational metrics, and other required information, then complete the form according to the provided instructions and regulations.
The purpose of the X-17A report is to provide regulators with an overview of a broker-dealer's financial condition and compliance with regulatory requirements.
The X-17A report must include information such as financial statements, capital computations, and operational reports relevant to the broker-dealer's activities.
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