Electronic Filing of Form X-17A-5 Part III (Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Annual Reports)
Paragraph (d)(6) of Rule 17a-5 (17 CFR 240.17a-5(d)(6)) provides broker-dealers with the option to file Form X-17A-5 Part III (annual reports) with the Commission electronically in accordance with directions provided on the Commission’s website in lieu of a paper filing. Similarly, paragraph (c)(6) of Rule 18a-7 (17 CFR 240.18a-7(c)(6)) provides security-based swap dealers and major security-based swap participants with the option to file Form X-17A-5 Part III (annual reports) with the Commission electronically in accordance with directions provided on the Commission’s website in lieu of a paper filing.
The staff of the Division of Trading and Markets has prepared the following statement to assist broker-dealers, security-based swap dealers, and major security-based swap participants in filing Form X-17A-5 Part III (annual reports) electronically with the Commission through its Electronic Data Gathering, Analysis, and Retrieval system (“EDGAR”). This statement represents the views of the staff of the Division of Trading and Markets. It is not a rule, regulation, or statement of the Securities and Exchange Commission (“Commission”). The Commission has neither approved nor disapproved its content. This statement, like all staff statements, has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any person.
Use the links below to access further information.
How to obtain EDGAR access credentials
Note: Security-based swap dealers and major security-based swap participants will obtain EDGAR access credentials when they register with the Commission as a security-based swap entity.
How to file Form X-17A-5 Part III Annual Reports through EDGAR
The following resources are available for assistance:
- For procedural and technical questions, contact 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 email@example.com.
- Substantive questions regarding Form X-17A-5 Part III filing requirements should be directed to the Division of Trading and Markets by calling (202) 551-5777 or by e-mailing firstname.lastname@example.org. Please include a telephone number or email address that Division staff can use to contact you.