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SEC Form 2897 Form Custody for Broker-Dealers
What Is SEC Form 2897?
This is a legal form that was released by the U.S. Securities and Exchange Commission on December 1, 2013 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.
FAQ
Q: What is SEC Form 2897?
A: SEC Form 2897 is a form used for custody reporting by broker-dealers.
Q: Who uses SEC Form 2897?
A: Broker-dealers use SEC Form 2897 for reporting custody.
Q: What is the purpose of SEC Form 2897?
A: The purpose of SEC Form 2897 is to provide information about the custody practices of broker-dealers.
Q: What information is required on SEC Form 2897?
A: SEC Form 2897 requires information about broker-dealers' custody practices, including information about the qualified custodian and any exempt reporting advisers.
Q: Is SEC Form 2897 mandatory?
A: Yes, broker-dealers are required to file SEC Form 2897 to report custody information.
Form Details:
- Released on December 1, 2013;
- The latest available edition released by the U.S. Securities and Exchange Commission;
- Easy to use and ready to print;
- Yours to fill out and keep for your records;
- Compatible with most PDF-viewing applications;
- Fill out the form in our online filing application.
Download a printable version of SEC Form 2897 by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.
Download SEC Form 2897 Form Custody for Broker-Dealers
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