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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.