Electronic Filing of Form X-17A-5 Part III (Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Annual Reports)

1. Broker-dealers may follow these instructions to obtain EDGAR access: Procedures to Obtain EDGAR Access for Submission of Form X-17A-5 Part III. See also How Do I Prepare and Submit My Form ID Application for EDGAR Access and How Do I Obtain Login.gov Individual Account Credentials.
2. Security-based swap dealers and major security-based swap participants should use the EDGAR access credentials they obtained when they registered with the Commission as a security-based swap dealer or major security-based swap participant.

1. If the filer’s CIK is not known, search for it using http://www.sec.gov/edgar/searchedgar/companysearch.html or https://www.edgarcompany.sec.gov/.
2. If a filer has multiple CIKs, it must use the CIK associated with its FOCUS Reports on EDGAR. (For a broker-dealer, the File Number associated with its Form X-17A-5 Part III will begin with 008. For a security-based swap dealer or major security-based swap participant, the File Number associated with its Form X-17A-5 Part III will begin with 026.)

On the next page, for a new filing, choose “Annual Reports (X-17A-5).”

If filing an amendment, choose “Amendment to Annual Reports (X-17A-5)/A).” (See instruction 13.c. below regarding filing of an amendment.)

1. Certain fields on these pages will be prepopulated.
2. Broker-dealers must submit a Form BD/A (Amendment) to CRD to update their company information. The Form BD/A filing will automatically update the company information in EDGAR.
3. All other filers must submit a COUPDAT (Company Update) through EDGAR to update company information.
4. In either case, the new company information will be prepopulated into the applicable fields on future Form X-17A-5 submissions.

For stand-alone OTC Derivatives Dealers filing audited financial statements under Rule 17a-12, the statements (including accountant’s reports under paragraphs (k), (l), and (m) of Rule 17a-12) may be uploaded as one confidential document.

For broker-dealers filing annual reports under Rule 17a-5 and for security-based swap dealers and major security-based swap participants filing annual reports under Rule 18a-7, the annual reports may be uploaded as one public document or, alternatively, as one public document and one confidential document as follows:

1. Upload a Single Document. The broker-dealer, security-based swap dealer, or major security-based swap participant can elect to upload all of the annual reports as a single public document.
   • To do so,  select “Add Document” and upload the single document.
   • Next, choose “FULL” as the document “Type” from the drop-down menu.
   • Add a description if desired.
   • The “Request Confidentiality” button must not be checked, as certain of the items in the annual reports must be made public.
   • Select “Submit” at the top of the page:

Click on the image to open a full-size version in a new window.

2. Upload Two Documents. The individual making the submission can elect to file one document that will be made public and another document that will be kept confidential. In this case, the individual would attach two documents to the submission (a public document and a confidential document):
   1. Public Document. The public document must contain, at a minimum, the statement of financial condition, the notes to the statement of financial condition, and an accountant’s report which covers the statement of financial condition (the notes and the accountant’s report may cover the entire financial report).
      • To do this, select “Add Document” button and upload the public document.
      • Select “FULL” as the document “Type” from the drop-down menu.
      • Add a description if desired.
      • The “Request Confidentiality” button must not be checked, as these items must be made public.
      • The individual making the submission should not select “Submit” until they have uploaded the confidential document discussed next.
   2. Confidential Document. The confidential document must contain all of the items of the annual reports that the filer must file. In other words, the confidential document must contain the items of the annual reports included in the public document (at a minimum, the statement of financial condition, the notes to the statement of financial condition, and an accountant’s report which covers the statement of financial condition) and the remaining required items in the annual reports.
      • To do this, select “Add Document” and upload the confidential document.
      • Again choose “FULL” as the document “Type” from the drop-down menu.
      • Add a description if desired.
      • Select the “Request Confidentiality” box.
      • Once both documents have been uploaded, select “Submit” at the top of the page:

Click on the image to open a full-size version in a new window.

3. As indicated above, except for stand-alone OTC Derivatives Dealers filing audited financial statements under Rule 17a-12, the individual must submit one document for which the “Request Confidentiality” button is not checked (that is, one document must be made public).

   Consequently, if the individual making the submission (other than an OTC Derivatives Dealers filing audited financial statements under Rule 17a-12) selects “Submit” before attaching a document for which the “Request Confidentiality” button is not checked, the individual will receive an error message.

   Note: Account administrators and users filing an amendment to Form X-17A-5 must file the entire annual reports—not simply those items that are being amended. Consequently, the above applies with regard to the required filing of a document for which the “Request Confidentiality” button is not checked.

   To correct the error and successfully file the annual reports, the broker-dealer can take the steps described in Instruction 7.(a) (that is, file the annual reports in one “Full” document that is made public) or Instruction 7.(b) (that is, file the annual reports in two “Full” documents – one that is made public and one that is kept confidential).

   Any document for which the individual making the submission does not request confidentiality will be made public on EDGAR immediately after the individual files the reports on EDGAR.

   Items that are not required to be made public and for which confidential treatment is requested by the individual will be kept confidential, subject to the provisions of applicable law.

• The email will contain the name of the filer; the “Form Type” that was submitted (“X-17A-5”); the dates received, accepted, and filed; the “accession number” of the filing (which is to be used for future inquiries regarding the filing); the file number; and any warnings associated with the filing (for example, that the filing was not timely received).