Form Custody Filings (period ended 03/31/2018)
Firms are required to file the Form Custody when they submit their Focus filings.
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Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2018)
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 3/31/2018)
FINRA AML Half-Day Seminar
Costa Mesa Marriot 500 Anton Blvd., Costa MesaFINRA’s AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each seminar provides … Continue reading FINRA AML Half-Day Seminar