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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. 999999999712005035

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Form X-17a-5 - SEC is required to be filled out by broker-dealers who are registered with the Securities and Exchange Commission (SEC).

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What is form x-17a-5 - sec?

Form X-17A-5 is a financial report that must be filed by certain broker-dealers with the U.S. Securities and Exchange Commission (SEC).

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

Broker-dealers registered with the SEC are required to file Form X-17A-5.

How to fill out form x-17a-5 - sec?

Form X-17A-5 must be filled out electronically using the SEC's EDGAR system.

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

The purpose of Form X-17A-5 is to provide the SEC with important financial information about registered broker-dealers.

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

Form X-17A-5 requires broker-dealers to report their financial condition, the composition of their capital, and other key financial information.

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