Form audited report 2026

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The document is an Annual Audited Report Form X-17A-5 required by the U.S. Securities and Exchange Commission for brokers and dealers, detailing their financial condition and compliance with regulations under the Securities Exchange Act of 1934. It includes sections for registrant identification, accountant details, an oath or affirmation regarding the accuracy of financial statements, and a checklist of required financial disclosures.

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Click ‘Get Form’ to open the audited report in the editor.
Begin by filling in the 'Report for the Period' section, entering the start and end dates in MM/DD/YY format.
In Section A, provide your broker-dealer name and firm ID number. Ensure you include the complete address of your principal place of business without using a P.O. Box.
Next, enter the contact person's name and telephone number for inquiries regarding this report.
Proceed to Section B to identify your independent public accountant. Fill in their name and address accurately.
Select one of the options regarding your accountant's status: Certified Public Accountant, Public Accountant, or Accountant not resident in the U.S.
Complete the Oath or Affirmation section by signing and providing your title. Ensure all required boxes are checked based on what is included in your report.

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