Form X-17A-5 Files Dataset

Form X-17A-5 filings are annual audited reports required of registered broker-dealers under Rule 17a-5(d) promulgated pursuant to Section 17 of the Securities Exchange Act of 1934. Every broker or dealer registered under Section 15 of the Exchange Act must file this report with the SEC no later than 60 calendar days after the end of its fiscal year, providing regulators with a comprehensive view of the firm's financial condition and operational status. The dataset includes all Form X-17A-5 and Form X-17A-5/A filings submitted to EDGAR from November 2001 to present. Form X-17A-5/A filings represent amendments to previously filed annual audited reports. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files; this covers the primary report document, financial statement attachments, and any supporting exhibits as filed by the reporting broker-dealer. Each filing typically contains a facing page identifying the registrant and independent public accountant, audited financial statements including a balance sheet and income statement certified by an independent public accounting firm, a statement of financial condition, notes to financial statements, the accountant's audit report, and an oath or affirmation signed by a principal of the broker-dealer.

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