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TABLE CAPTION FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION CHECK BOX IF NO LONGER WASHINGTON, D.C. 20549 SUBJECT TO SECTION 16. FORM 4 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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What is of 1934 section 17a?

Section 17a of the Securities Exchange Act of 1934 establishes regulations for the reporting and filing of certain securities transaction information by broker-dealers.

Who is required to file of 1934 section 17a?

Broker-dealers engaged in trading securities are required to file reports under Section 17a of the Securities Exchange Act of 1934.

How to fill out of 1934 section 17a?

To fill out Section 17a, broker-dealers must gather transaction data, complete the required forms with accurate information regarding trades executed, and submit them to the designated regulatory authority.

What is the purpose of of 1934 section 17a?

The purpose of Section 17a is to provide oversight and transparency in securities transactions, ensuring that broker-dealers maintain accurate records and report their trading activities to the regulatory authorities.

What information must be reported on of 1934 section 17a?

The information that must be reported includes the details of transactions executed by broker-dealers, such as trade dates, volumes, prices, and counterparties involved in the transactions.

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