Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart G - FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, DEALERS, SECURITY-BASED SWAP DEALERS, AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
Section 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 Sections 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable

17 C.F.R. § 249.617

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Current through May 31, 2024
Section 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 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

84 FR 68669, Dec. 16, 2019
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 www.govinfo.gov.