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WebFORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: May 31, 2024 Estimated average burden hours per response.. . . . . 12.00 UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 8-FACING PAGE: WebNov 15, 2024 · Substantive questions regarding Form X-17A-5 Part III filing requirements should be directed to the Division of Trading and Markets by calling (202) 551-5777 or by …

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SEC Form 1696 (X-17A-5) Focus Report Part Iia

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Form x-17a-5_3 fillable

WebFORM X-17A-5 PART III SEC FILE NUMBER 8-FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and … WebSEC.gov HOME

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