BD- Annual Audit, Form X-17A-5, Part III

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Form X-17A-5 is a financial reporting form that must be completed by broker-dealers and attached to their annual audited reports no later than 60 days from their fiscal year-end.  The SEC refers to this form as Financial and Operational Uniform Single (FOCUS) Report.  Members also downloaded 2020 State Requirements for Broker-Dealer Annual Audited Financial Statements or SEC Form Custody.

Version/Update: 3235-0123/November 2018

Total Page Count/Format 2/.pdf

Source/Author(s): SEC