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.

Please refer to the following:

The following resources are available for assistance:

  • Volume I of the EDGAR Filer Manual at Section 3 ("Becoming an EDGAR Filer"), Subsection 3.3.1 ("Current Paper Only Filer") provides detailed instructions, including screen shots, for obtaining EDGAR log-in credentials. As of December 2015, this subsection began on page 3-34 of Volume I of the EDGAR Filer Manual. A link to the current version of Volume I of the EDGAR Filer Manual is available at http://www.sec.gov/info/edgar/edmanuals.htm.
  • Volume II of the EDGAR Filer Manual at Section 9 ("Preparing and Transmitting Online Submissions"), Subsection 9.2.17 ("File Form X-17A-5 Part III") provides detailed instructions, including screen shots, for filing broker-dealer annual reports. As of December 2015, this subsection began on page 9-216 of Volume II of the EDGAR Filer Manual. A link to the current version of Volume II of the EDGAR Filer Manual is available at http://www.sec.gov/info/edgar/edmanuals.htm.
  • 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 email that the Division staff can use to contact you.