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SECURITIES AND EXCHANGE COMMISSION SEC FORM 17. C CURRENT REPORT UNDER SECTION 17 OF THE SECURITIES REGULATIONS CODE (SRC) AND SRc RULE 17(a)1(bX3) THEREUNDER1Februa 2017 Date of Report (Date of the
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SRC Rule 17a-1bX3 pertains to the Securities Exchange Act regulations that require certain broker-dealers to file periodic financial reports with the SEC.
Broker-dealers that are subject to the SEC's regulations are required to file SRC Rule 17a-1bX3.
Broker-dealers must complete the form by providing financial details, operational information, and disclosures as mandated by the SEC guidelines.
The purpose of SRC Rule 17a-1bX3 is to ensure transparency and provide the SEC with crucial financial data from broker-dealers.
The information that must be reported includes financial statements, balance sheets, income statements, and details on net capital.
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