SEC Form X-15AJ-2



This form is the "annual consolidated supplement", a form that is filed annually with the SEC by national securities associations and affiliated securities associations. SEC Form X-15AJ-2, the consolidated supplement, must be accompanied by three additional exhibits for SEC review.


The additional exhibits must include copies of the association's constitution or charter and its existing by-laws or rules. Also included must be the association's balance sheet and income and expense statement for its last fiscal year. Finally, the association must reveal the names and places of business of all its members.

  1. SEC Form X-15AJ-1

    A form that is filed with the SEC as an amendatory and/or supplementary ...
  2. Broker-Dealer

    A person or firm in the business of buying and selling securities, ...
  3. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  4. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  5. Member Firm

    A broker-dealer in which at least one of the principal officers ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
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