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SECURITIES AND EXCHANGE COMMISSIONER X17A5 Annual audited report of brokers and dealers (Section 17 of Act 1934 and Rule 17a5)Filing Date: 20120229 | Period of Report: 20111231 SEC Accession No. 999999999712003176

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What is pdf form x-17a-5 part?

X-17a-5 Part is a financial report filed by certain types of broker-dealers with the Securities and Exchange Commission (SEC).

Who is required to file pdf form x-17a-5 part?

Broker-dealers that meet certain criteria set by the SEC are required to file Form X-17a-5 Part.

How to fill out pdf form x-17a-5 part?

Form X-17a-5 Part is typically filled out electronically using specific software provided by the SEC.

What is the purpose of pdf form x-17a-5 part?

The purpose of Form X-17a-5 Part is to provide the SEC with detailed financial information about broker-dealers to help ensure compliance with regulations and protect investors.

What information must be reported on pdf form x-17a-5 part?

Information such as balance sheet data, income statement data, and certain proprietary reserve calculations must be reported on Form X-17a-5 Part.

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