BrokerDealer Regulatory Filing
Please click to return to the document group list.
| Type: | X-17A-5 |
|---|---|
| Description: | Every broker or dealer registered with the Securities and Exchange Commission, pursuant to Section 15 of the Exchange Act must file annually, on a calendar or fiscal year basis, a report audited by an independent public accountant. |
| Filing Deadline: | N/A |
| Relevant Legislation: | Section 15 of the Exchange Act. |
| Type: | X-17A-5 Q |
| Description: | Quarterly Statement of Financial Condition produced by brokers and dealers registered with the Security and Exchange Commission. This filing is typically unaudited. |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | |
| Type: | X-17A-5/A |
| Description: | Amendment to an annual report filed by every broker or dealer registered with the Securities and Exchange Commission, filed on a calendar or fiscal year basis, and audited by an independent public accountant. |
| Filing Deadline: | |
| Relevant Legislation: | Section 15 of the Exchange Act. |