C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 › Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

17 C.F.R. § 249.617

Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable

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Appropriate parts of Form X-17A-5, as applicable, shall be used by brokers, dealers, security-based swap dealers, and major security-based swap participants required to file reports under §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-7 of this chapter, as applicable.

[84 FR 68669, Dec. 16, 2019] Editorial Note: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.govinfo.gov.
Notes of Decisions
Cited in 1 case, 1976–1976 · leading case: Rich v. Touche Ross & Co., 415 F. Supp. 95 (S.D.N.Y. 1976).
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Rich v. Touche Ross & Co., 415 F. Supp. 95 (S.D.N.Y. 1976). “617 , as effective in 1972, contained the following instructions regarding audit procedures: “The audit shall be in accordance with generally accepted accounting standards and shall include a review of the accounting system, the internal accounting control and procedures for…”
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