MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2016)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2016)
Firms are required to file Form Custody pursuant to SEA Rule 17a-5(a)(5).
Annual Verification Due As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. … Continue reading FINRA Contact System Due Date