SEC Form X-17A-5


DEFINITION of 'SEC Form X-17A-5'

A financial and operational report form that must be completed by all dealer-brokers registered with the Securities and Exchange Commission (SEC). SEC form X17A-5 consists of three parts, including an annual audit that must be performed by a certified public accountant (CPA).


This report is used to determine the dealer-broker's financial condition. Section 17 of the Securities Exchange Act of 1934 Rule 17a-10(a)(1) requires all broker-dealers to file Form X-17A-5.

  1. SEC Form X-15AJ-1

    A form that is filed with the SEC as an amendatory and/or supplementary ...
  2. SEC Form X-15AJ-2

    This form is the "annual consolidated supplement", a form that ...
  3. Broker-Dealer

    A person or firm in the business of buying and selling securities, ...
  4. Audit

    1. An unbiased examination and evaluation of the financial statements ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
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