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17 C.F.R. § 249.617   Form X–17A–5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and §240.17a–5, §240.17a–10 and §240.17a–11, and §240.17a–12 of this chapter.

Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers

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§ 249.617   Form X–17A–5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and §240.17a–5, §240.17a–10 and §240.17a–11, and §240.17a–12 of this chapter.

Appropriate parts of this form shall be used by every broker or dealer required to file reports under §240.17a–5(a), (b), and (d), §240.17a–10(a), and §240.17a–11, and §240.17a–12 of this chapter.

(Secs. 15, 17 and 23, of the Securities Exchange Act of 1934 (15 U.S.C. 78o, 78q, and 78w))

[49 FR 43455, Oct. 29, 1984]

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 on GPO Access.