Source: http://www.law.cornell.edu/cfr/text/17/249.617
Timestamp: 2015-01-30 17:57:19
Document Index: 126267055

Matched Legal Cases: ['§ 240', '§ 240', '§ 240', '§ 240', 'art 249', '§ 240', '§ 240', '§ 240', '§ 240', '§ 249', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240', '§ 240']

17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5, § 240.17a-10 and § 240.17a-11, and § 240.17a-12 of this chapter. | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 249 › Subpart G › Section 249.617 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5, § 240.17a-10 and § 240.17a-11, and § 240.17a-12 of this chapter.
§ 249.617
Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5, § 240.17a-10 and § 240.17a-11, and § 240.17a-12 of this chapter.
Appropriate parts of this form shall be used by every broker or dealer required to file reports under § 240.17a-5(a), (b), and (d), § 240.17a-10(a), and § 240.17a-11, and § 240.17a-12 of this chapter.
(Secs. 15, 17 and 23, of the Securities Exchange Act of 1934 (15 U.S.C. 78
o, 78q, and 78w))
[49 FR 43455, Oct. 29, 1984]
For Federal Register citations affecting Form X-17A-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.