Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.

OMB 3235-0199

OMB 3235-0199

Rule 17a-5(c) sets forth requirements for broker-dealers that carry customer accounts to provide financial statements to their customers. The purpose of the Rule is to ensure that customers of broker-dealers are provided with information concerning the financial condition of the firm that may be holding the customers' cash and securities so that the customers can judge whether the broker or dealer is financially sound.

The latest form for Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers. expires 2022-02-28 and can be found here.

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OMB Details

Rule 17a-5(c): Exempt firms sending financial disclosure statements to customers

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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