Form G-405 Files Dataset

Form G-405 filings provide financial and operational reports filed by registered government securities brokers and dealers pursuant to Section 15C of the Securities Exchange Act of 1934 and 17 CFR Part 405. The form serves as the counterpart to Form X-17A-5 for entities subject to Treasury Department regulations governing government securities activities, requiring monthly, quarterly, or annual submissions depending on the filer's business profile. The dataset includes all Form G-405 and Form G-405/A filings submitted to EDGAR from January 2002 to present. Form G-405/A filings represent amendments to previously submitted reports. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains statements of financial condition, computations of liquid capital requirements, and supplemental schedules detailing the government securities broker or dealer's operations, customer reserve computations, and any material inadequacies identified during the reporting period.

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