Series 28: Exercise

Exercise

Answer the following questions

1. 1. _____ Which part of Form X-17A-5 must be filled out by all firms?
2. 2. _____ Which is the only type of firm to require that Part I of Form X-17A-5 be filled out?
3. 3. _____ Which is the only part of Form X-17A-5 that must be filled out monthly, by the 10th business day after the month’s end?
4. 4. _____ Who has to fill out supplements to the FOCUS reports?

Answers

1. 1. Schedule I. Note that while quarterly reports are filled out by all firms, th