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.

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]

Editorial Note:

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.