BD- SEC Annual Report Form X-17A-5 Part III Facing Page

SEC’s Updated Form X-17A-5 Part III Facing Page and Oath or Affirmation is a financial reporting form that must be completed by broker-dealers and attached to their annual audited reports no later than sixty (60) days from their fiscal year-end pursuant to Rule 17a-5.  Members also downloaded 2023 State Requirements for Broker-Dealer Annual Audited Financial Statements or SEC Form Custody.

Version/Exp. Date: OMB 3235-0123/November 30, 2026

Total Page Count/Format 2/.pdf (fillable)

Source/Author(s): SEC