Code of Federal Regulations · 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 §§ 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
View:
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.
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.
Authorizing Statute
-
Definitions and application15 U.S.C. § 78c
-
Failure of corporate officers to certify financial reports18 U.S.C. § 1350
-
Periodical and other reports15 U.S.C. § 78m
-
Operations of designated financial market utilities12 U.S.C. § 5465
-
Findings and purposes12 U.S.C. § 5461
-
Short title15 U.S.C. § 78a