Instructions for SEC Form 1695, X-17A-5 Part II Focus Report

SEC Form 1695 (X-17A-5) Part II Focus Report

This document contains official instructions for SEC Form 1695 Part II and Form X-17A-5 Part II . Both forms are released and collected by the U.S. Securities and Exchange Commission. An up-to-date fillable SEC Form 1695 (X-17A-5) Part II is available for download through this link.

FAQ

Q: What is SEC Form 1695?
A: SEC Form 1695 is a form used by the Securities and Exchange Commission (SEC) to collect financial and operational information from broker-dealers.

Q: What is X-17A-5 Part II?
A: X-17A-5 Part II is a section of SEC Form 1695 that focuses on specific aspects of a broker-dealer's financial and operational activities.

Q: What is a Focus Report?
A: A Focus Report is a report required by the SEC that provides detailed information about a broker-dealer's financial condition and business operations.

Q: Who needs to file SEC Form 1695?
A: Broker-dealers registered with the SEC are required to file SEC Form 1695.

Q: What information does SEC Form 1695 collect?
A: SEC Form 1695 collects information related to a broker-dealer's financial condition, net capital, customer protection, and business activities.

Q: How often do broker-dealers need to file SEC Form 1695?
A: Broker-dealers need to file SEC Form 1695 annually.

Q: Are there any penalties for not filing SEC Form 1695?
A: Yes, failure to file SEC Form 1695 can result in penalties, fines, and even the suspension of a broker-dealer's registration with the SEC.