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ISSUE ID: 2015/B/28 ANNUAL RETURNS RECEIVED BETWEEN 08JUL2015 AND 14JUL2015INDEX OF SUBMISSION TYPES B1B B1C B1AU B1REPLACEMENT ANNUAL RETURN ANNUAL RETURN GENERAL B1 WITH AUDITORS REPORT ANNUAL RETURN

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Gather all necessary financial documents for the reporting period.

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Companies and organizations required to submit audited financial statements to regulatory authorities.

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What is annual audited form X-17A-5?

Annual audited form X-17A-5 is a report that broker-dealers are required to file with the Securities and Exchange Commission (SEC) that provides a comprehensive audit of their financial conditions and operations for the fiscal year.

Who is required to file annual audited form X-17A-5?

Broker-dealers that are registered with the SEC are required to file the annual audited form X-17A-5.

How to fill out annual audited form X-17A-5?

To fill out annual audited form X-17A-5, broker-dealers must gather their financial statements, ensure that they are audited by an independent public accountant, and accurately complete the form according to the guidelines provided by the SEC.

What is the purpose of annual audited form X-17A-5?

The purpose of annual audited form X-17A-5 is to provide transparency and accountability in the operations of broker-dealers by ensuring that their financial statements are accurately represented and audited.

What information must be reported on annual audited form X-17A-5?

Annual audited form X-17A-5 must report financial statements, including balance sheets, income statements, and cash flow statements, as well as information about the broker-dealer's operations, net capital and compliance with SEC regulations.

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