What's the reporting requirements of stock brokers?

Question

What's the reporting requirements of stock brokers?

Answer 1

There are a variety of numbers that they have to report to the SEC, the NASD, the SIPC and the exchanges.  These include their capital position and amount of customer positions in short stocks.

Answer 2

Stock brokers have no reporting requirements, they are employees of Broker/dealers who monitor their activities on a daily basis and are responsible for all their actions regarding customers and investments.

Broker/dealers have many reporting requirements depending on the type of business they do. and their primary regulator.

The list would be almost meaningless, to many of those that read these postings

The most important reporting requirement is that of their Net Capital, B/Ds are responsible for knowing their Capital at all times, and must file,  at least monthly, their computation of their net capital.