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UNIT 0 MB APPROVAL0 MOB Number 3235-01 11021172 AND EXCJ1A1mr J1v1Iv1Iai Washington D. C 20549 SECURITIES Expires April Estimated ANNUAL AUDITED FORM hours RI PART burden average 12.00 per response
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What is form x-17a - securities?
Form X-17A-5 is a quarterly and annual report required by U.S. broker-dealers to be filed with the SEC.
Who is required to file form x-17a - securities?
Registered U.S. broker-dealers are required to file Form X-17A-5 with the SEC.
How to fill out form x-17a - securities?
Form X-17A-5 can be filled out electronically using the SEC's EDGAR system.
What is the purpose of form x-17a - securities?
The purpose of Form X-17A-5 is to provide the SEC with information about a broker-dealer's financial condition and operations.
What information must be reported on form x-17a - securities?
Form X-17A-5 requires information about a broker-dealer's balance sheet, income statement, and computation of net capital.
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