1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
  6. 17 CFR § 249.617
17 CFR § 249.617
Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable
April 15, 2021
CFR

Appropriate parts of Form X-17A-5, as applicable, shall be used by brokers, dealers, security-based swap dealers, and major security-based swap participants required to file reports under §§240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-7 of this chapter, as applicable.

[84 FR 68669, Dec. 16, 2019]

Next
§ 249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and §240.17a-5 of this chapter

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