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Form X17A5 FOCUS Report Part II Cover Page20221125 01:15PM EST Status: AcceptedUNITED STATES SECURITIES AND EXCHANGE COMMISSION FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)
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Review the requirements outlined in rule 17a-5 to understand what information needs to be included in the supporting statement.
02
Gather all necessary financial data and records to support the information being reported.
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Organize the supporting documentation in a clear and concise manner, making sure to include all required information.
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Fill out the supporting statement form accurately and completely, providing all requested details and explanations.
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Review the completed supporting statement for accuracy and compliance with rule 17a-5 before submitting it.

Who needs supporting statement rule 17a-5?

01
Firms and entities regulated by the Securities and Exchange Commission (SEC) are required to adhere to supporting statement rule 17a-5.
02
Broker-dealers, investment advisers, and other financial institutions often fall under the jurisdiction of rule 17a-5.
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Supporting Statement Rule 17a-5 is a regulation under the Securities Exchange Act that requires broker-dealers to provide certain financial information to the Securities and Exchange Commission (SEC) to ensure compliance with net capital requirements.
All registered broker-dealers are required to file the supporting statement under Rule 17a-5.
To fill out the supporting statement, broker-dealers must report their financial condition, including balance sheets and income statements, using the prescribed forms and guidelines provided by the SEC.
The purpose of the supporting statement is to provide the SEC with an overview of the broker-dealer's financial health and compliance with capital requirements, aiding in regulatory oversight.
The supporting statement must include details such as the broker-dealer's net capital, aggregate indebtedness, and financial statements, including balance sheets and income statements.
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