Step 1 of 5: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsClassify the annual report, reference engagement-specific PCAOB evidence, collect the public and audited package artifacts, obtain separated approval, submit to EDGAR, reconcile uncertain outcomes, and finish only from an accepted receipt.
Basis: Broker-dealer reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
5 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 5
ScreenSEC › SEC Workflows › Form X-17A-5 broker-dealer annual reportstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Registrant CIK (required)
cikEnter registrant cik. An example value is "0001234567".
Step 2 of 5
ScreenSEC › SEC Workflows › Form X-17A-5 broker-dealer annual reportstep 2
Complete the Filer fields. Each value is validated against the schema before the next step unlocks.
Broker-dealer (required)
brokerDealerNameEnter broker-dealer.
SEC file number (required)
secFileNumberEnter sec file number.
Fiscal year end (required)
fiscalYearEndEnter fiscal year end.
Step 3 of 5
ScreenSEC › SEC Workflows › Form X-17A-5 broker-dealer annual reportstep 3
Complete the Report fields. Each value is validated against the schema before the next step unlocks.
Report kind (required)
reportKindEnter report kind.
Exemption provision relied onoptional
exemptionProvisionEnter exemption provision relied on.
Independent public accountant (required)
auditFirmNameEnter independent public accountant.
PCAOB verification record (required)
pcaobVerificationRecordIdEnter pcaob verification record.
Statement of financial condition attachedoptional
statementOfFinancialConditionAttachedEnter statement of financial condition attached.
Public portion bound separatelyoptional
publicPortionSeparatelyBoundEnter public portion bound separately.
Step 4 of 5
ScreenSEC › SEC Workflows › Form X-17A-5 broker-dealer annual reportstep 4
Complete the Evidence fields. Each value is validated against the schema before the next step unlocks.
Annual-report package artifact ID (required)
annualReportArtifactIdEnter annual-report package artifact id.
Independent accountant report artifact ID (required)
auditorReportArtifactIdEnter independent accountant report artifact id.
Authorized signature artifact ID (required)
signatureArtifactIdEnter authorized signature artifact id.
Step 5 of 5
ScreenSEC › SEC Workflows › Form X-17A-5 broker-dealer annual reportstep 5
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
Select the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Read guide Broker-dealers, advisers & fundsPrepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide