Electronic Filing of Broker-Dealer Annual Reports

Oct. 11, 2017

Broker-dealers, including broker-dealers registered as over-the-counter derivatives dealers, can voluntarily file their annual reports and supplemental reports electronically with the Commission through its Electronic Data Gathering, Analysis and Retrieval system (EDGAR) in lieu of filing the reports in paper. Use the links in each section to access further information.

How to Obtain EDGAR Access Credentials

Procedures for Broker-Dealers to Obtain EDGAR Access Credentials for Submission of Form X-17A-5 Part III Annual Reports and Amendments

How to File Broker-Dealer Annual Reports Through EDGAR

Instructions for Electronic Filing of Broker-Dealer Annual Reports Through EDGAR

The Following Resources Are Available for Assistance:

  • EDGAR Filer Technical Support at 202-551-8900, Option # 3 (technicians are available live on weekdays from 9 a.m. to 5:30 p.m. ET) or filertechunit@sec.gov.
  • Substantive questions regarding a broker-dealer's filing requirements should be directed to the Division of Trading and Markets by contacting (202) 551-5777 or tradingandmarkets@sec.gov. Please include a telephone number in your voice message or email that Division staff can use to contact you.

No-Action Letter

Letter to Ms. Kris Dailey, Vice President, Risk Oversight & Operational Regulation, Financial Industry Regulatory Authority; Simplified Process for Electronic Filing of Broker-Dealer Annual Reports with the Securities and Exchange Commission; Dated January 27, 2017

Last Reviewed or Updated: Jan. 30, 2017