In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 07/31/2017)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 07/31/2017)
International Municipal Lawyers Association's Municipal Finance Webinar August 23, 2017 1:00 PM - 2:00 PM ET MSRB Assistant General Counsel Saliha Olgun will speak about recent developments in municipal securities … Continue reading MSRB: International Municipal Lawyer’s Association’s Municipal Finance Webinar