What goes in a X-17A-5 filing?
已回答Has anyone filed their broker dealer reports through Workiva? How does it work? Just trying to update my process.
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Hi there, Christie!
So I've not filed one of these bad boys, but from a how it works perspective, both in Classic and in next gen, you can use either Wdesk created documents that are EDGAR generated to HTM format or optionally uploaded PDFs. We have actually found that many filers use the PDF method over the EDGAR version, but both work in Wdesk.
These are a somewhat unusual type and have restrictions/rules on what exhibits can be used or are prohibited based on what you choose within the filing. Another thing to note for this is that items can be marked as confidential too.
I'd be interested as well in seeing how others do this, i.e. the HTM version or PDF one.
Let me know if I can answer any questions on the above or you need anything else. Thanks for the contributions as always. Cheers!0请先登录再写评论。
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