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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: 20110301 | Period of Report: 20101231 SEC Accession No. 999999999711004913
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X-17a-5 filer information is a form required by the Securities and Exchange Commission (SEC) for broker-dealers to report their financial and operational information.
Broker-dealers are required to file x-17a-5 filer information.
X-17a-5 filer information can be filled out electronically through the SEC's EDGAR system.
The purpose of x-17a-5 filer information is to provide transparency and oversight of broker-dealers' financial and operational activities.
X-17a-5 filer information must include financial statements, risk assessments, and compliance reports.
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