Form X-17A-5 broker-dealer annual reports
Form X-17A-5 Part III annual audited reports of every registered broker-dealer: statement of financial condition, net capital and auditor report.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22X-17A-5%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"X-17A-5"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is X-17A-5?
Every registered broker-dealer files an annual audited report under Rule 17a-5. On EDGAR it appears as Form X-17A-5, the facing page plus the audited financial statements, supporting schedules and the independent accountant's report.
The statement of financial condition is public for every firm, from the largest wirehouses to small introducing brokers, which makes these filings the standard source on broker-dealer size, capital and auditors.
Broker-dealers registered with the SEC under Section 15 of the Exchange Act.
Within 60 calendar days after the end of the broker-dealer's fiscal year.
Filings per year
Every X-17A-5 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Facing page | Firm name, SEC file number, CRD, fiscal period and auditor, in XML. |
| Statement of financial condition | Assets, liabilities and ownership equity. |
| Net capital computation | Net capital under Rule 15c3-1, if not filed confidentially. |
| Customer protection | Reserve computation under Rule 15c3-3 or the exemption claimed. |
| Compliance or exemption report | Management's report and the accountant's examination or review. |
| Auditor's report | Independent public accountant's opinion, with PCAOB registration. |
Get X-17A-5 data with SecFeed
Search the filings with formType:"X-17A-5", read any document as text or PDF, and use these APIs for structured data:
Broker-dealer annual reports from Form X-17A-5: registrant, period, auditor and material weakness data, plus the audited report PDF.
EDGAR Filing Query APISearch every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
Latest X-17A-5 filings
| Company | Form | Filed | |
|---|---|---|---|
| COMPASS SECURITIES CORPORATION | X-17A-5 | 2026-10-09 | EDGAR ↗ |
| COMPASS SECURITIES CORPORATION | X-17A-5 | 2026-10-09 | EDGAR ↗ |
| COMPASS SECURITIES CORPORATION | X-17A-5 | 2026-10-09 | EDGAR ↗ |
| EBISU SECURITIES INC. | X-17A-5 | 2026-10-09 | EDGAR ↗ |
| INSTITUTIONAL BOND NETWORK, LLC | X-17A-5 | 2026-10-09 | EDGAR ↗ |
| PLACE TRADE FINANCIAL, INC. | X-17A-5 | 2026-10-07 | EDGAR ↗ |
| CEVIDICA SECURITIES GROUP LLC | X-17A-5 | 2026-10-07 | EDGAR ↗ |
| CONTINENTAL INVESTORS SERVICES, INC. | X-17A-5 | 2026-10-06 | EDGAR ↗ |
Use cases
- Rank broker-dealers by assets and capital
- Find which audit firms serve broker-dealers
- Screen counterparties and acquisition targets
Related forms
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FAQ
Is all of the X-17A-5 public?
The statement of financial condition and notes are public. Firms may request confidential treatment for other parts if they are bound separately.
When is the annual audit due?
60 calendar days after fiscal year end.
Every X-17A-5 filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.