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

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

This document contains official instructions for Form X-17A-5 Part II and SEC Form 1695A 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 Form X-17A-5?
A: Form X-17A-5 is a form used by the Securities and Exchange Commission (SEC) to collect financial and operational information from broker-dealers.

Q: What is SEC Form 1695A?
A: SEC Form 1695A is a part of the Form X-17A-5 called the Part II Focus Report.

Q: What is the purpose of the Part II Focus Report?
A: The Part II Focus Report provides detailed information about a broker-dealer's financial condition, including assets, liabilities, net capital, and income.

Q: Who needs to file the Form X-17A-5 and Part II Focus Report?
A: Broker-dealers registered with the SEC are required to file Form X-17A-5 and complete the Part II Focus Report.

Q: What information is required in the Part II Focus Report?
A: The Part II Focus Report requires information about a broker-dealer's balance sheet, income statement, regulatory capital computations, and certain other financial data.

Q: When is the deadline to file the Form X-17A-5 and Part II Focus Report?
A: The deadline for filing the Form X-17A-5 and Part II Focus Report is 17 business days after the end of a broker-dealer's fiscal year.