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-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.

Regulations last checked for updates: Apr 16, 2024

Title 17 - Commodity and Securities Exchanges last revised: Apr 12, 2024

View all text of Subpart G [§ 249.617 - § 249.641]

§ 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-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.

authority: 15 U.S.C. 78a

cite as: 17 CFR 249.617