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SEC Form X-17A-5 must be filled out by all broker-dealers that are registered with the SEC, as mandated by Section 17 of the Securities Exchange Act of 1934 Rule 17a-10(a)(1). 1 The form is used to report a broker-dealers financial and operating conditions.
Who is required to file financial statements with the SEC?
The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures. Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company.
Are broker-dealers required to register with the SEC?
Brokers generally must register with the SEC and become members of the Financial Industry Regulatory Authority (FINRA).
What is a 17a 3 letter?
17a-3(a)(17)(i)(A) An account record including the customers or owners name, tax identification number, address, telephone number, date of birth, employment status (including occupation and whether the customer is an associated person of a member, broker or dealer), annual income, net worth (excluding value of
Who is required to file an exemption report under SEC rule 17a-5?
3.104 In addition to the audited financial statements, broker-dealers are required to file a compliance report or an exemption report annually.
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Form x 17a 5 part iii pdfForm x 17a-5 Part III instructionsform x-17a-5 searchForm x 17a 5 part iii example17a-5 compliance reportFOCUS Report instructionsSEC Form Type COUPDATFOCUS Report Part II
Rule 17a-5(e)(3) provides that the annual reports filed under paragraph (d) of Rule 17a-5 are not confidential, except that, if the Statement of Financial Condition . . . is bound separately from the balance of the annual reports, and each page of the balance of the annual reports is stamped confidential, . . . the
What financial reporting is required for broker-dealers?
When broker-dealers file their annual reports with the SEC, they are required to include their financial statements and supporting schedules, typically along with audit reports prepared by PCAOB-registered public accounting firms.
What is the 17a 5 rule?
17a-5(b)(1) If a broker or dealer holding any membership interest in a national securities exchange or registered national securities association ceases to be a member in good standing of such exchange or association, such broker or dealer must, within two business days after such event, file with the Commission Part
Related links
Final Rule: Broker-Dealer Reports
Jul 30, 2013 Finally, the amendments require a broker-dealer to file a new form with its DEA that elicits information about the broker-dealers practices
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