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SECURITIES AND EXCHANGE COMMISSIONFORM X17A5 Annual audited report of brokers and dealers (Section 17 of Act 1934 and Rule 17a5)Filing Date: 20230228 | Period of Report: 20221231 SEC Accession No.
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Sera Global Securities US refers to a regulatory framework for reporting and compliance concerning global securities held by U.S. entities or individuals.
Entities and individuals holding global securities that meet specific thresholds and requirements are mandated to file Sera Global Securities US reports.
To fill out Sera Global Securities US, report holders must gather necessary financial information, complete the required forms accurately, and submit them through the designated filing platform.
The purpose of Sera Global Securities US is to ensure transparency and compliance in the reporting of global securities held by U.S. residents to prevent financial fraud and ensure regulatory oversight.
The information that must be reported includes the details of the securities held, their values, the identity of the holders, and any related transaction data.
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