17 C.F.R. § 249.617 : Commodity and Securities Exchanges — SECURITIES AND EXCHANGE COMMISSION — FORMS, SECURITIES EXCHANGE ACT OF 1934 — FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, AND DEALERS — 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 sections 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable

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.

17 C.F.R. §249.617

Secs. 15, 17 and 23, of the Securities Exchange Act of 1934 ( 15 U.S.C. 78 o, 78q, and 78w)

49 FR 43455, 10/29/1984; 84 FR 68669, 2/14/2020

For Federal Register citations affecting Form X-17A-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at .