Form Custody Filings (period ended 09/30/2018)
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 09/30/2018)
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 09/30/2018)
FINRA Half-Day Boot Camp – New York – District 10
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Half-Day Boot Camp – New York – District 10