Get Form X-17a-5 Schedule I - Sec.gov Home

Filling out the Form X-17A-5 Schedule I is essential for brokers and dealers to comply with the Securities Exchange Act of 1934. This guide provides step-by-step instructions to help you navigate the form online with confidence.

Follow the steps to seamlessly complete the Form X-17A-5 Schedule I online.

1. Click the ‘Get Form’ button to access the form and open it in your chosen editing tool.
2. Fill in the registrant identification section with your broker-dealer name, firm identification number, and principal place of business address, ensuring no P.O. Box is used.
3. Provide the contact details of the person you wish to designate for inquiries regarding the report, including their name and telephone number.
4. In the accountant identification section, list the name and address of your independent public accountant, providing full details as required.
5. Select the appropriate classification for your accountant, indicating whether they are a certified public accountant, public accountant, or reside outside the United States.
6. Complete the oath or affirmation section by entering your name, title, and signing to affirm the accuracy of the information provided.
7. Indicate the components included in your report by checking all applicable boxes that describe the financial statements and schedules attached.
8. After completing all sections, review your entries for accuracy.
9. Save your changes, and choose to download, print, or securely share the completed form as necessary.

To ensure compliance and accuracy, start filling out the Form X-17A-5 Schedule I online today.