Electronic Filing of Broker-Dealer Annual Reports

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 below to access further information.

New!  In January 2017, in response to comments from filers, EDGAR was updated to simplify the electronic filing process.  The instructions for filing broker-dealer annual reports through EDGAR have been updated to include the new process.

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

New! Instructions for Electronic Filing of Broker-Dealer Annual Reports through EDGAR

List of Document Attachment Types (needed only if not using the simplified process)

The following resources are available for assistance:

  • EDGAR Filer Technical Support at 202-551-8900, Option # 3 (technicians are available live from 9:00 am-5:30 pm EST Monday-Friday) or filertechunit@sec.gov.
  • Substantive questions regarding a broker-dealer’s filing requirements should be directed to the Division of Trading and Markets by calling (202) 551-5777 or by e-mailing tradingandmarkets@sec.gov.  Please include a telephone number in your voice message or e-mail 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