Form Custody Filings (period ended 06/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
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Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2018)
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 6/30/2018)